James Michael O'Brien

Last updated
1 week ago
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Where they hold approval

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

  • AJ Bell Securities Limited

    FRN 155593

    • SMF16 Compliance Oversight (since 10 Nov 2025)
    • [FCA CF] Material risk taker (since 1 Apr 2025)
    • SMF16 Compliance Oversight (2 Apr 2024 to 14 Oct 2024)
    • SMF4 Chief Risk (2 Apr 2024 to 14 Oct 2024)
  • AJ Bell Management Limited

    FRN 211468

    • SMF16 Compliance Oversight (since 10 Nov 2025)
    • [FCA CF] Material risk taker (since 1 Apr 2025)
    • SMF16 Compliance Oversight (2 Apr 2024 to 14 Oct 2024)
    • SMF4 Chief Risk (2 Apr 2024 to 14 Oct 2024)
  • AJ Bell Asset Management Limited

    FRN 774048

    • SMF16 Compliance Oversight (since 10 Nov 2025)
    • [FCA CF] Material risk taker (since 1 Apr 2025)
    • SMF16 Compliance Oversight (2 Apr 2024 to 14 Oct 2024)
    • SMF4 Chief Risk (2 Apr 2024 to 14 Oct 2024)
  • Co-op Insurance Services Limited (no longer approved here)

    FRN 779364

    • [FCA CF] Significant management (9 Dec 2019 to 12 Aug 2022)

Recent activity

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

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