James Trevor Ford

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.

  • Halcyon Wealth UK Ltd

    FRN 948417

    • 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)
    • SMF3 (AR) Executive Director function (since 13 Jan 2025)
    • SMF16 Compliance Oversight (since 31 Aug 2021)
    • SMF3 Executive Director (since 31 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Aug 2021)
    • Responsible for Insurance Distribution (since 31 Aug 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Halcyon Investment Management Limited

    FRN 1020765

    • (1)Employed By (since 13 Jan 2025)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 13 Sep 2021)
    • CF30 Customer (23 Jan 2013 to 1 Feb 2013)
    • CF1 Director (AR) (19 Feb 2010 to 29 Dec 2015)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (31 Jan 2013 to 13 Mar 2015)
    • CF30 Customer (31 Jan 2013 to 13 Mar 2015)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (8 Feb 2010 to 29 Dec 2015)
  • Concours Capital Ltd (no longer approved here)

    FRN 516163

    • Employed By (8 Feb 2010 to 29 Dec 2015)

Recent activity

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

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