James Deal

Watch for changes

Where they hold approval

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

Retail Book Limited
FRN 994238
- SMF1 Chief Executive (since 1 May 2025)
- SMF3 Executive Director (since 1 May 2025)
- [FCA CF] Client dealing (since 1 Apr 2025)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- [FCA CF] Client dealing (7 Mar 2016 to 12 Aug 2019)
- CF30 Customer (4 Jan 2010 to 6 Mar 2016)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (4 Jan 2010 to 6 Mar 2016)
Numis Securities Limited (no longer approved here)
FRN 144822
- CF21 Investment Adviser (14 Apr 2003 to 12 Jun 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.