James Matthew Parker

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.

  • Oak Private Wealth Ltd

    FRN 968529

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Jun 2022)
    • Responsible for Insurance Distribution (since 30 Jun 2022)
    • SMF16 Compliance Oversight (since 30 Jun 2022)
    • SMF3 Executive Director (since 30 Jun 2022)
    • [FCA CF] Client dealing (since 30 Jun 2022)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Jun 2022)
    • CF30 Customer (22 Aug 2012 to 29 Jun 2022)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (3 Sep 2012 to 29 Jun 2022)
  • Radcliffe and Newlands Ltd (no longer approved here)

    FRN 457283

    • Employed By (6 Jun 2011 to 2 Jul 2012)

Recent activity

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

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