James Paul Wharton

Last updated
3 weeks ago
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Where they hold approval

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

  • WINTERFLOOD SECURITIES LIMITED (no longer approved here)

    FRN 141455

    • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2025)
    • CF10a CASS Oversight function (14 Mar 2017 to 8 Dec 2019)
  • Renaissance Capital Limited (no longer approved here)

    FRN 186891

    • CF10a CASS Oversight function (13 Jun 2013 to 14 Mar 2014)

Recent activity

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

No changes recorded yet.