James Stewart Shepperd

Last updated
1 week ago
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Where they hold approval

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

  • Davidsons Independent Financial Advisers Limited

    FRN 224407

    • Responsibility for MCD Intermediation (since 23 Feb 2022)
    • SMF3 Executive Director (since 23 Feb 2022)
    • Responsible for Insurance Distribution (since 23 Feb 2022)
  • Davidsons Portfolio Management Ltd

    FRN 796573

    • SMF3 Executive Director (since 23 Feb 2022)
  • Courtiers Investment Services Limited

    FRN 124995

    • CF1 Director (AR) (since 3 Sep 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10a CASS Oversight function (1 Oct 2011 to 1 Jan 2013)
    • CF30 Customer (1 Nov 2007 to 26 Nov 2012)
    • CF3 Chief Executive (18 Jan 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jan 2005 to 22 Nov 2019)
    • CF11 Money Laundering Reporting (18 Jan 2005 to 26 Nov 2012)
    • CF8 Apportionment and Oversight (18 Jan 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (30 Jul 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Paragon Financial Planning Ltd

    FRN 419269

    • (2)Employed By (since 3 Sep 2021)
  • SDB Strategic Planners Limited

    FRN 116337

    • SMF3 Executive Director (since 18 Jun 2020)
  • Courtiers Asset Management Limited

    FRN 616322

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF3 Chief Executive (24 Apr 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2014 to 18 Jun 2019)
    • Responsible for Insurance Mediation (22 Jul 2014 to 16 Aug 2016)
    • CF1 Director (22 Jul 2014 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: Employed By at Paragon Financial Planning Ltd

  2. controlled function added: (2)Employed By at Paragon Financial Planning Ltd