James Fordham

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Where they hold approval

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

New Leaf Distribution Limited
FRN 460421
- CF1 Director (AR) (since 21 Jul 2017)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 Jul 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 25 Jul 2023)
- CF30 Customer (8 Jun 2018 to 25 Jul 2023)
Fordham Financial Services Ltd
FRN 783877
- (1)Employed By (since 21 Jul 2017)
Mistry & Sons Limited (no longer approved here)
FRN 656623
- (1)Employed By (17 Jan 2019 to 24 Aug 2020)

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.