James Humphreys

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Rathbones Investment Management Limited

    FRN 116316

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
    • [FCA CF] Manager of certification employee (since 16 Oct 2024)
    • [FCA CF] Client dealing (since 16 Oct 2024)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF30 Customer (1 Nov 2007 to 13 Aug 2010)
    • CF21 Investment Adviser (21 Aug 2006 to 31 Oct 2007)
    • CF27 Investment Management (21 Aug 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.