James Grierson Dickens

Last updated
2 weeks ago
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Where they hold approval

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

  • GRIERSON DICKENS LIMITED

    FRN 403259

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Manager of certification employee (since 19 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (8 Nov 2004 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (8 Nov 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (8 Nov 2004 to 1 Nov 2007)
    • CF21 Investment Adviser (8 Nov 2004 to 31 Oct 2007)

Recent activity

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

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