James Edward Mitchell

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.

  • Sovereign (Financial Services) Limited

    FRN 480202

    • 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] Functions requiring qualifications (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • CF30 Customer (31 May 2019 to 8 Dec 2019)
  • ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED (no longer approved here)

    FRN 607483

    • CF30 Customer (17 Jul 2017 to 15 Feb 2019)
  • Danske Bank A/S (no longer approved here)

    FRN 124655

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)

Recent activity

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

No changes recorded yet.