James Richard Penn

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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 20 Sep 2016)
    • CF30 Customer (since 20 Sep 2016)
  • J P Wealth Management Limited

    FRN 758261

    • (1)Employed By (since 20 Sep 2016)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (14 Mar 2013 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 9 Nov 2012)
    • CF21 Investment Adviser (13 Jun 2003 to 18 Jan 2006)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 Jun 2003)

Recent activity

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

No changes recorded yet.