James David Moore

Last updated
3 weeks ago
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Where they hold approval

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

  • SOUND FINANCIAL MANAGEMENT LIMITED (no longer approved here)

    FRN 192052

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Dec 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Dec 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Dec 2023)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2023)
    • CF21 Investment Adviser (16 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Apr 2003 to 16 Nov 2006)

Recent activity

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

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