James Darren Stratten

• James Stratten Financial Planning Limited

  FRN 487359

  • 11. Pension transfer specialist
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF11 Money Laundering Reporting (3 Sep 2008 to 8 Dec 2019)
  • CF1 Director (3 Sep 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Sep 2008 to 8 Dec 2019)
  • CF30 Customer (3 Sep 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Sep 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (3 Sep 2008 to 30 Sep 2018)
• ValidPath Limited (no longer approved here)

  FRN 197107

  • CF21 Investment Adviser (4 May 2004 to 31 Mar 2007)
• Ward Williams Financial Services Ltd (no longer approved here)

  FRN 229362

  • Employed By (23 Apr 2004 to 31 Mar 2007)
• Philip J Milton & Company Plc (no longer approved here)

  FRN 181768

  • CF21 Investment Adviser (1 Dec 2001 to 4 Sep 2002)

No changes recorded yet.