James Ball

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.

  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • [FCA CF] Functions requiring qualifications (20 Sep 2016 to 25 Oct 2020)
    • [FCA CF] Manager of certification employee (20 Sep 2016 to 18 Aug 2022)
    • CF21 Investment Adviser (5 Nov 2002 to 13 Jul 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Nov 2002)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 1 Apr 2010)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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