James Lewis

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.

  • RBC Europe Limited

    FRN 124543

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Nov 2021)
    • CF30 Customer (12 Sep 2016 to 8 Dec 2019)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (3 Sep 2008 to 8 Sep 2016)

Recent activity

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

No changes recorded yet.