James Ian Humphrey

Last updated
3 weeks ago
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Where they hold approval

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

  • BLACKTOWER FINANCIAL MANAGEMENT LIMITED

    FRN 188611

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 11 Nov 2020)
    • [FCA CF] Client dealing (since 11 Nov 2020)
    • [FCA CF] Client dealing (23 Oct 2020 to 11 Nov 2020)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (1 Mar 2005 to 1 Jul 2005)

Recent activity

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

No changes recorded yet.