James Broderick

Last updated
2 weeks ago
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Where they hold approval

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

  • J.P. Morgan Investment Management Inc (no longer approved here)

    FRN 119267

    • CF1 Director (14 Jun 2011 to 30 May 2012)
    • CF29 Significant management (1 Nov 2007 to 30 May 2012)
    • CF16 Significant Mgt (Desgntd Investment Business) (6 Oct 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Mar 2005 to 6 Oct 2005)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF29 Significant management (1 Nov 2007 to 30 May 2012)
    • CF16 Significant Mgt (Desgntd Investment Business) (3 Mar 2005 to 31 Oct 2007)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF1 Director (25 Aug 2005 to 31 Jul 2009)
  • JPMorgan Asset Management (UK) Limited (no longer approved here)

    FRN 119337

    • CF3 Chief Executive (3 Mar 2005 to 30 May 2012)
    • CF8 Apportionment and Oversight (3 Mar 2005 to 6 Oct 2005)
    • CF1 Director (3 Mar 2005 to 30 May 2012)
  • JPMorgan Funds Limited (no longer approved here)

    FRN 119346

    • CF1 Director (1 Dec 2001 to 30 May 2012)
    • CF3 Chief Executive (1 Dec 2001 to 3 Jul 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 6 Oct 2005)

Recent activity

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

No changes recorded yet.