James Stefan Caplan

Last updated
6 days ago
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Where they hold approval

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

  • Sante Partners Ltd

    FRN 914023

    • CF1 Director (AR) (since 24 Mar 2025)
  • First Health London Ltd

    FRN 1029823

    • (2)Employed By (since 24 Mar 2025)
  • FIRST FINANCIAL INTERMEDIARIES LIMITED

    FRN 301328

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • Responsible for Insurance Distribution (since 8 Apr 2020)
    • SMF16 Compliance Oversight (since 8 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF4 Partner (AR) (3 Jul 2012 to 10 Dec 2018)
  • First Wealth LLP (no longer approved here)

    FRN 506489

    • Employed By (4 Sep 2009 to 10 Dec 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 13 Dec 2010)
    • CF4 Partner (AR) (1 Dec 2001 to 11 Sep 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • First Financial Consultants (no longer approved here)

    FRN 184024

    • Employed By (1 Dec 2001 to 11 Sep 2012)

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

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