James Benjamin Britton

Last updated
1 day ago
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Where they hold approval

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

  • Surrey Downs Financial Services Limited

    FRN 787019

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (AR) (since 19 Nov 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Mar 2018)
    • CF30 Customer (since 1 Nov 2017)
    • Responsible for Insurance Mediation (19 Mar 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Nov 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2017 to 8 Dec 2019)
    • CF1 Director (1 Nov 2017 to 8 Dec 2019)
  • SURREY DOWNS MORTGAGE & WEALTH LIMITED

    FRN 805474

    • (1)Employed By (since 19 Nov 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (4 Jan 2012 to 22 Apr 2012)
  • David Sowerbutts (no longer approved here)

    FRN 529580

    • Employed By (4 Jan 2012 to 22 Apr 2012)

Recent activity

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

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