James Andrew Maltby

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 19 Nov 2021)
    • CF30 Customer (since 11 Nov 2021)
    • CF1 Director (AR) (11 Nov 2021 to 3 Nov 2022)
  • Bath Wealth Management Limited

    FRN 648729

    • Employed By (since 11 Nov 2021)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (9 Dec 2019 to 17 Sep 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Sep 2021)
    • CF30 Customer (9 Oct 2018 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Dec 2014 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.