James Leonard Pearcy-Caldwell

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.

  • AISA FINANCIAL PLANNING LIMITED

    FRN 189652

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 6 May 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF4 Partner (AR) (since 8 Sep 2017)
    • CF30 Customer (since 1 Nov 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Aisa Retirement Planning LLP

    FRN 779882

    • (3)Employed By (since 8 Sep 2017)

Recent activity

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

  1. controlled function removed: Employed By at Aisa Retirement Planning LLP

  2. controlled function added: (3)Employed By at Aisa Retirement Planning LLP