James Richard Challis Serjeant

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.

  • SINGER CAPITAL MARKETS SECURITIES LIMITED

    FRN 453676

    • [FCA CF] Client dealing (since 9 Feb 2026)
  • Singer Capital Markets Advisory LLP

    FRN 568323

    • [FCA CF] Client dealing (since 9 Feb 2026)
  • Dowgate Capital Limited (no longer approved here)

    FRN 146274

    • SMF1 Chief Executive (12 Feb 2025 to 6 Feb 2026)
    • SMF3 Executive Director (9 Dec 2019 to 6 Feb 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 6 Feb 2026)
    • CF1 Director (14 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (11 May 2016 to 8 Dec 2019)
  • Dowgate Wealth Limited (no longer approved here)

    FRN 926137

    • SMF3 Executive Director (10 Dec 2020 to 21 Oct 2024)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • CF1 Director (10 Jun 2016 to 14 Jun 2016)
    • CF30 Customer (1 Nov 2007 to 6 May 2016)
    • CF21 Investment Adviser (17 Jul 2006 to 31 Oct 2007)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF21 Investment Adviser (25 Mar 2002 to 1 Jul 2005)

Recent activity

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

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