James Richard Scott

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.

  • HFMC Wealth Management Ltd

    FRN 146717

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Aug 2008 to 8 Dec 2019)
  • HFMC Wealth Limited

    FRN 192999

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (20 Aug 2019 to 8 Dec 2019)
  • HFMC Asset Management Limited (no longer approved here)

    FRN 194722

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
    • CF30 Customer (21 Sep 2012 to 8 Dec 2019)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF22 Investment Adviser (Trainee) (2 Nov 2005 to 4 Aug 2006)

Recent activity

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

No changes recorded yet.