James Anthony Sullivan

Watch for changes

Where they hold approval

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

Odd Asset Management Ltd
FRN 660915
- [FCA CF] Client dealing (since 1 Sep 2020)
AB Investment Solutions Limited (no longer approved here)
FRN 705062
- SMF3 Executive Director (9 Dec 2019 to 8 Jun 2020)
- CF1 Director (4 Jan 2016 to 8 Dec 2019)
- CF30 Customer (4 Jan 2016 to 8 Dec 2019)
R C Brown Investment Management Plc (no longer approved here)
FRN 146002
- CF30 Customer (4 Nov 2014 to 15 Feb 2016)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.