James McIntosh

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.

  • GRANGE WEALTH MANAGEMENT LTD.

    FRN 623155

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Aug 2021)
    • Responsible for Insurance Distribution (since 16 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
    • [FCA CF] Client dealing (since 2 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 4 Sep 2012)
    • CF21 Investment Adviser (5 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Jun 2005 to 5 Jun 2006)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.