James William Cormier

Last updated
3 weeks ago
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Where they hold approval

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

  • J.P. Morgan Markets Limited

    FRN 114031

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
    • CF30 Customer (2 Mar 2012 to 8 Dec 2019)
  • J.P. Morgan Securities plc

    FRN 155240

    • [FCA CF] Material risk taker (since 17 May 2017)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (10 Jul 2007 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association

    FRN 124491

    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (10 Jul 2007 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (13 Dec 2005 to 2 Apr 2007)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (10 Mar 2004 to 12 Sep 2005)

Recent activity

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

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