James Robert Iain Maxwell

Last updated
2 weeks 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] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 17 Jun 2025)
    • CF30 Customer (1 Nov 2007 to 7 Feb 2013)
    • CF23 Corporate Finance Adviser (13 Aug 2007 to 31 Oct 2007)
  • Singer Capital Markets Advisory LLP

    FRN 568323

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 17 Jun 2025)
    • CF29 Significant management (21 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2012 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Jul 2002 to 18 Jun 2003)

Recent activity

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

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