James Gordon Thomson Robertson

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • James Robertson

    FRN 599287

    • 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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (29 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (29 Jul 2013 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 28 Jul 2013)
    • CF21 Investment Adviser (19 Jun 2003 to 31 Oct 2007)
  • Falcon Financial Advice Limited (no longer approved here)

    FRN 401814

    • (83)Employed By (2 Mar 2005 to 8 Dec 2019)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (641)Employed By (19 Jun 2003 to 28 Jul 2013)

Recent activity

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

No changes recorded yet.