James Moore

Watch for changes

Where they hold approval

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

New Leaf Distribution Limited
FRN 460421
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 4 Mar 2026)
- CF30 Customer (since 3 Mar 2026)
- Appointed representative dealing with clients for which they require qualification (since 15 Feb 2024)
Opendoor Investment Services Ltd
FRN 1017616
- (1)Employed By (since 3 Mar 2026)
Peter Richards Financial Ltd (no longer approved here)
FRN 222564
- [FCA CF] Functions requiring qualifications (18 Mar 2021 to 16 Feb 2024)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.