James Oliver Powell

Last updated
2 weeks ago
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Where they hold approval

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

  • RiverPeak Wealth Limited

    FRN 632101

    • 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)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 18 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 18 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (2 Jan 2015 to 8 Dec 2019)
    • CF1 Director (2 Jan 2015 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2015 to 30 Sep 2018)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 16 Feb 2012)
    • CF21 Investment Adviser (19 Oct 2006 to 31 Oct 2007)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF21 Investment Adviser (30 Oct 2003 to 11 Sep 2006)

Recent activity

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

No changes recorded yet.