James Dimmock

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.

  • Capital Tower Limited

    FRN 547717

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Dec 2018 to 8 Dec 2019)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (4 Jul 2018 to 7 Dec 2018)
  • Aviva Life & Pensions UK Limited (no longer approved here)

    FRN 185896

    • CF22 Investment Adviser (Trainee) (30 Jan 2002 to 30 Jan 2002)

Recent activity

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

No changes recorded yet.