James Etheridge

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • FOCUSED FINANCIAL LTD

    FRN 631108

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 24 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (20 Nov 2014 to 8 Dec 2019)
    • CF1 Director (20 Nov 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (20 Nov 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Nov 2014 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF4 Partner (AR) (1 Sep 2011 to 31 Dec 2014)
    • CF30 Customer (1 Sep 2011 to 31 Dec 2014)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (12 Jan 2011 to 15 Jul 2011)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (538)Employed By (12 Jan 2011 to 15 Jul 2011)

Recent activity

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

No changes recorded yet.