James McLaughlin

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • JM Independent Financial Advisers Ltd

    FRN 625327

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
    • CF1 Director (1 Oct 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2014 to 30 Sep 2018)
  • CLARITY INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 453293

    • CF30 Customer (4 Mar 2011 to 1 Oct 2014)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 4 Aug 2008)
    • CF21 Investment Adviser (8 Jun 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.