James Mortimer

Watch for changes

Where they hold approval

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

PHIL ANDERSON FINANCIAL SERVICES LTD. (no longer approved here)
FRN 631218
- [FCA CF] Functions requiring qualifications (15 Feb 2023 to 15 Sep 2023)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
- CF17 Significant Mgt (Other Business Operations) (5 Jan 2006 to 8 Jan 2007)
- CF22 Investment Adviser (Trainee) (3 Jan 2006 to 9 Jan 2007)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (549)Employed By (28 Dec 2005 to 31 Dec 2012)
William Alexander Mackie (no longer approved here)
FRN 216591
- Employed By (1 Dec 2001 to 5 Apr 2004)

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.