James Michael Shepherd

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • NK Financial Management Limited

    FRN 552630

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • CF30 Customer (27 Aug 2013 to 8 Dec 2019)
  • Caroline Griffiths (no longer approved here)

    FRN 401793

    • Employed By (24 Mar 2010 to 14 May 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (24 Nov 2008 to 14 May 2010)
  • The Mortgage Centre (Home Counties) Limited (no longer approved here)

    FRN 193363

    • (12)Employed By (3 Jan 2003 to 25 Apr 2003)

Recent activity

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

  1. controlled function added: (12)Employed By at The Mortgage Centre (Home Counties) Limited