James Stokes

Watch for changes

Where they hold approval

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

Openwork Limited
FRN 408285
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 11 Nov 2015)
- CF30 Customer (since 24 Jul 2013)
- CF4 Partner (AR) (1 Jan 2013 to 11 Nov 2015)
Personal Touch Financial Services Limited (no longer approved here)
FRN 187834
- CF4 Partner (AR) (28 May 2010 to 28 Feb 2013)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.