James Luya Rowsell

Last updated
5 days ago
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Where they hold approval

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

  • North Atlantic Investment Services Limited

    FRN 969870

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 23 Sep 2024)
    • [FCA CF] Significant management (since 23 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2024)
  • Vermeer Investment Management Ltd (no longer approved here)

    FRN 710280

    • SMF3 Executive Director (9 Dec 2019 to 23 Sep 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2020)
    • CF30 Customer (15 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Apr 2016 to 8 Dec 2019)
    • CF3 Chief Executive (4 Apr 2016 to 21 Dec 2018)
    • CF11 Money Laundering Reporting (4 Apr 2016 to 21 Dec 2018)
    • CF1 Director (4 Apr 2016 to 8 Dec 2019)
  • Cantor Fitzgerald Europe (no longer approved here)

    FRN 149380

    • CF3 Chief Executive (24 May 2012 to 19 May 2014)
    • CF1 Director (24 May 2012 to 19 May 2014)
  • GATE CAPITAL GROUP LTD. (no longer approved here)

    FRN 189170

    • CF2 Non Executive Director (15 Jan 2002 to 16 Jun 2009)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF21 Investment Adviser (1 Dec 2001 to 13 May 2003)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 13 May 2003)

Recent activity

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

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