James Warren Richards

Last updated
2 weeks ago
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Where they hold approval

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

  • Ernest Grant Mortgages Limited

    FRN 1007804

    • (2)Employed By (since 4 Jan 2024)
  • Sense Network Limited

    FRN 465124

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 22 Aug 2017)
    • CF1 Director (AR) (since 26 Feb 2015)
  • Ernest Grant Ltd

    FRN 568558

    • (1)Employed By (since 3 Nov 2014)
  • Foster Denovo Limited (no longer approved here)

    FRN 462728

    • CF30 Customer (1 Nov 2007 to 9 Mar 2010)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (12 Feb 2007 to 6 Aug 2007)
    • CF22 Investment Adviser (Trainee) (8 Dec 2005 to 12 Feb 2007)
  • Sinfonia Direct Ltd (no longer approved here)

    FRN 440606

    • Employed By (6 Dec 2005 to 6 Aug 2007)

Recent activity

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

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