James Patrick Main

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 Jun 2016 to 8 Dec 2019)
  • Punter Southall SIPP Limited (no longer approved here)

    FRN 189480

    • CF21 Investment Adviser (4 Oct 2005 to 1 Apr 2007)
    • CF22 Investment Adviser (Trainee) (3 Jun 2005 to 4 Oct 2005)

Recent activity

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

No changes recorded yet.