James Thomas Vernon Appleby

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Tees Financial Limited

    FRN 211314

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 21 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 21 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 11 Feb 2019)
    • Responsible for Insurance Distribution (since 11 Feb 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jul 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2021)
    • CF11 Money Laundering Reporting (11 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Feb 2019 to 8 Dec 2019)
    • CF1 Director (11 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (11 Feb 2019 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (12 Mar 2018 to 19 Sep 2018)
    • CF30 Customer (12 Mar 2018 to 19 Sep 2018)
  • Appleby Wealth Management Ltd (no longer approved here)

    FRN 803572

    • Employed By (12 Mar 2018 to 19 Sep 2018)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (10 Nov 2014 to 13 Jul 2015)

Recent activity

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

No changes recorded yet.