James Patrick Gault

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • CF1 Director (AR) (since 3 Mar 2021)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF22 Investment Adviser (Trainee) (6 Aug 2007 to 31 Oct 2007)
  • Quilter Mortgage Planning Limited

    FRN 440718

    • CF1 Director (AR) (since 3 Mar 2021)
  • J.P.G Financial (N.I.) Limited

    FRN 607925

    • (3)Employed By (since 1 Oct 2013)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (30 Dec 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (2 Jun 2003 to 30 Dec 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (30 Dec 2003 to 2 Sep 2007)
    • CF22 Investment Adviser (Trainee) (2 Jun 2003 to 30 Dec 2003)
  • NI Financial Directions Ltd (no longer approved here)

    FRN 224312

    • (2)Employed By (2 Jun 2003 to 7 Jul 2014)

Recent activity

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

  1. controlled function removed: Employed By at NI Financial Directions Ltd

  2. controlled function added: (2)Employed By at NI Financial Directions Ltd