James Ferguson

Last updated
1 week ago
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Where they hold approval

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

  • TMG Direct Limited

    FRN 786245

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 29 Nov 2023)
  • The Arlo Group UK Limited

    FRN 208467

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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
    • [FCA CF] Functions requiring qualifications (since 5 Sep 2023)
    • [FCA CF] Client dealing (since 5 Sep 2023)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (26 Mar 2013 to 13 May 2013)
  • Hays Private Finance Ltd (no longer approved here)

    FRN 579204

    • (2)Employed By (26 Mar 2013 to 13 May 2013)

Recent activity

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

No changes recorded yet.