James Mark Thomas

Last updated
2 weeks ago
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Where they hold approval

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

  • Shipman Wealth Management Ltd

    FRN 456896

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 1 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
    • [FCA CF] Client dealing (since 3 Jan 2023)
  • SHIPMAN FINANCIAL PLANNING LIMITED

    FRN 513289

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 2 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF30 Customer (1 Sep 2017 to 31 Dec 2017)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (11 Mar 2010 to 22 Jul 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (19 Dec 2007 to 10 Mar 2010)

Recent activity

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

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