James Arnold Graham Brown

Last updated
1 week ago
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Where they hold approval

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

  • Forth Capital Advisers Limited (no longer approved here)

    FRN 811535

    • [FCA CF] Client dealing (1 Aug 2023 to 1 Dec 2024)
    • [FCA CF] Significant management (1 Aug 2023 to 1 Dec 2024)
    • [FCA CF] Manager of certification employee (1 Aug 2023 to 1 Dec 2024)
    • [FCA CF] Functions requiring qualifications (1 Aug 2023 to 1 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Nov 2020 to 24 Jul 2024)
    • SMF16 Compliance Oversight (18 Nov 2020 to 24 Jul 2024)
    • SMF3 Executive Director (9 Dec 2019 to 25 Nov 2024)
    • SMF1 Chief Executive (9 Dec 2019 to 24 Jul 2024)
    • CF1 Director (25 Feb 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (25 Feb 2019 to 24 Jul 2024)
    • CF30 Customer (25 Feb 2019 to 8 Dec 2019)
    • CF3 Chief Executive (25 Feb 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.