James Ruff

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.

  • New Leaf Distribution Limited

    FRN 460421

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2020)
    • [FCA CF] Client dealing (since 5 Nov 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (30 Jun 2014 to 21 Apr 2017)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (5 Jan 2009 to 31 Jul 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (27 Feb 2008 to 27 Oct 2008)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF30 Customer (1 Nov 2007 to 18 Jan 2008)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 Jul 2003)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF30 Customer (1 Nov 2007 to 18 Jan 2008)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 Jul 2003)

Recent activity

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

No changes recorded yet.