James Christopher King

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.

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 10 Feb 2023)
    • [FCA CF] Client dealing (since 10 Feb 2023)
    • [FCA CF] Functions requiring qualifications (12 May 2022 to 3 Jan 2023)
    • [FCA CF] Client dealing (12 May 2022 to 3 Jan 2023)
    • CF30 Customer (13 Jul 2016 to 31 Aug 2018)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 6 Mar 2022)
    • CF30 Customer (21 Sep 2018 to 6 Mar 2022)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (394)Employed By (21 Sep 2018 to 6 Mar 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jan 2006)

Recent activity

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

No changes recorded yet.