James Philip Ashfield Tucker

Last updated
5 days ago
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Where they hold approval

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

  • Tuckers Legal & Financial Services Ltd

    FRN 947911

    • 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] Functions requiring qualifications (since 2 Aug 2021)
    • SMF3 Executive Director (since 2 Aug 2021)
    • [FCA CF] Client dealing (since 2 Aug 2021)
    • Responsibility for MCD Intermediation (since 2 Aug 2021)
    • Responsible for Insurance Distribution (since 2 Aug 2021)
    • SMF16 Compliance Oversight (since 2 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Aug 2021)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (19 Mar 2019 to 8 Dec 2019)
  • Lyn Financial Services Limited (1678) (no longer approved here)

    FRN 179802

    • (23)Employed By (1 Dec 2001 to 8 Aug 2007)

Recent activity

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

No changes recorded yet.