James Peter Shannon

Last updated
1 week 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

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Manager of certification employee (since 22 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 21 Jun 2022)
    • [FCA CF] Client dealing (since 21 Jun 2022)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (12 Jan 2021 to 29 Jun 2022)
    • CF30 Customer (12 Jan 2021 to 29 Jun 2022)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Jun 2022)
    • CF1 Director (AR) (28 Nov 2017 to 29 Jun 2022)
  • Fairfield Telecommunications Ltd (no longer approved here)

    FRN 800600

    • SMF29 Limited scope function (limited scope SMCR firms only) (9 Dec 2019 to 15 Apr 2020)
    • CF8 Apportionment and Oversight (23 Apr 2018 to 8 Dec 2019)
  • Bank House Wealth Ltd (no longer approved here)

    FRN 609778

    • Employed By (29 Nov 2013 to 29 Jun 2022)

Recent activity

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

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