James Georges Dodds

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Where they hold approval

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

Santander UK Plc (no longer approved here)
FRN 106054
- CF30 Customer (23 Apr 2010 to 20 Jul 2012)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (1 Nov 2007 to 7 Apr 2010)
- CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
Newcastle Financial Advisers Limited (no longer approved here)
FRN 222899
- (51)Employed By (21 Feb 2003 to 7 Apr 2010)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 12 Dec 2001)
Premier Mortgages & Investments (no longer approved here)
FRN 215875
- (2)Employed By (1 Dec 2001 to 2 Oct 2002)

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.