James Kent

Last updated
1 week ago
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Where they hold approval

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

  • Life Bridging and Commercial Solutions Limited

    FRN 834602

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Dec 2020)
    • SMF16 Compliance Oversight (since 18 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Dec 2020)
    • [FCA CF] Client dealing (since 18 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Apr 2019 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Jan 2021)
    • CF30 Customer (11 Jun 2012 to 29 Jan 2021)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (74)Employed By (11 Jun 2012 to 29 Jan 2021)
  • HYFI PRIVATE WEALTH LIMITED (no longer approved here)

    FRN 133473

    • CF30 Customer (15 Mar 2011 to 31 May 2012)

Recent activity

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

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