James Andrew King

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • The Tavistock Partnership Limited

    FRN 519014

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 26 Feb 2020)
    • CF30 Customer (since 26 Feb 2020)
    • [FCA CF] Client dealing (since 26 Feb 2020)
    • CF4 Partner (AR) (since 26 Feb 2020)
  • King Financial Planning LLP

    FRN 918147

    • (2)Employed By (since 26 Feb 2020)
  • Tavistock Private Client Limited (no longer approved here)

    FRN 210782

    • SMF3 Executive Director (9 Dec 2019 to 7 Apr 2020)
    • SMF1 Chief Executive (9 Dec 2019 to 7 Apr 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Apr 2020)
    • CF3 Chief Executive (16 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (10 Nov 2004 to 31 Oct 2007)
    • CF10 Compliance Oversight (22 Aug 2002 to 1 Apr 2004)
    • CF21 Investment Adviser (22 Aug 2002 to 31 Oct 2007)
    • CF1 Director (22 Aug 2002 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.