James Philip Galvin

Watch for changes

Where they hold approval

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

Laven Advisors LLP
FRN 447282
- CF30 Customer (since 23 Jan 2020)
- [FCA CF] Client dealing (24 Jan 2020 to 1 Sep 2023)
- [FCA CF] Material risk taker (24 Jan 2020 to 1 Sep 2023)
Rubrics Asset Management (UK) Limited
FRN 694948
- (3)Employed By (since 23 Jan 2020)
Shard Capital Partners LLP (no longer approved here)
FRN 538762
- CF30 Customer (14 May 2015 to 18 Jul 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.