Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 25 Aug 2011)
    • CF30 Customer (since 25 Aug 2011)
    • (1)Employed By (since 25 Aug 2011)
  • H C James & Ass. Ltd (1741) (no longer approved here)

    FRN 136698

    • (2)Employed By (9 Oct 1998 to 20 Nov 2003)

Recent activity

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

No changes recorded yet.