James Dormer

Watch for changes

Where they hold approval

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

NORTHERN LIGHTS ALTERNATIVE ADVISORS LLP
FRN 493102
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (20 Jun 2014 to 8 Dec 2019)
Fulcrum Asset Management LLP (no longer approved here)
FRN 230683
- CF30 Customer (26 Jan 2010 to 19 May 2014)
Valiance Advisors LLP (no longer approved here)
FRN 483060
- CF30 Customer (6 Jul 2009 to 31 Dec 2009)

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.