James Hartley

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.

  • DWS Investments UK Limited

    FRN 429806

    • [FCA CF] Client dealing (since 2 Aug 2022)
    • [FCA CF] Manager of certification employee (since 2 Aug 2022)
    • [FCA CF] Manager of certification employee (19 May 2022 to 15 Jul 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 15 Jul 2022)
    • CF30 Customer (18 Mar 2019 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (7 Mar 2016 to 1 Apr 2019)
    • CF30 Customer (14 Jul 2015 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.