James Daniel Mercer

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 1 Dec 2022)
    • CF1 Director (AR) (since 28 Oct 2022)
    • CF30 Customer (since 28 Oct 2022)
    • [FCA CF] Client dealing (10 Dec 2019 to 1 Dec 2022)
    • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 1 Dec 2022)
    • CF30 Customer (1 May 2012 to 8 Dec 2019)
  • Silverwood Financial Solutions Ltd

    FRN 985768

    • (2)Employed By (since 28 Oct 2022)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 28 Feb 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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