James Johnson

Watch for changes

Where they hold approval

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

RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- [FCA CF] Client dealing (20 Dec 2019 to 22 Dec 2025)
- [FCA CF] Functions requiring qualifications (20 Dec 2019 to 22 Dec 2025)
ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)
FRN 631117
- (43)CF30 Customer (29 May 2018 to 15 Nov 2019)
bdhSterling Limited (no longer approved here)
FRN 499460
- CF30 Customer (17 Nov 2014 to 25 May 2018)

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

1 day ago
controlled function added: (43)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.