James Carter

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.

  • Thornbridge Investment Management LLP

    FRN 713859

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • CF1 Director (AR) (since 15 Jan 2021)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
    • CF30 Customer (since 7 Apr 2020)
  • Luna Investment Management Limited

    FRN 923454

    • (6)Employed By (since 7 Apr 2020)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 27 Mar 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (14 Jul 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.