James Robert Wade

Last updated
2 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • CW Executive Finance Limited

    FRN 1008798

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2024)
    • [FCA CF] Client dealing (since 4 Sep 2024)
    • SMF3 Executive Director (since 3 Sep 2024)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Aug 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Aug 2024)
    • CF1 Director (AR) (27 Sep 2017 to 30 Aug 2024)
    • CF30 Customer (19 Dec 2016 to 30 Aug 2024)
  • CW Executive Finance Limited (no longer approved here)

    FRN 766573

    • Employed By (19 Dec 2016 to 30 Aug 2024)
  • M & G Cliffe Limited (no longer approved here)

    FRN 216079

    • (16)Employed By (19 Jul 2016 to 23 Dec 2016)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (19 Jul 2016 to 23 Dec 2016)

Recent activity

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

No changes recorded yet.