James Pindar Thomas

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.

  • RBC Europe Limited

    FRN 124543

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF27 Investment Management (19 Dec 2006 to 4 Sep 2007)
    • CF21 Investment Adviser (19 Dec 2006 to 4 Sep 2007)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF22 Investment Adviser (Trainee) (27 Sep 2005 to 15 Nov 2006)

Recent activity

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

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