James William Whittington

Last updated
1 week ago
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Where they hold approval

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

  • MONTGOMERY CHARLES FINANCIAL MANAGEMENT LIMITED

    FRN 586392

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 18 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 18 Jul 2023)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • [FCA CF] Functions requiring qualifications (24 Oct 2022 to 28 Apr 2023)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • [FCA CF] Functions requiring qualifications (24 Oct 2022 to 28 Apr 2023)
  • Frazer James Ltd (no longer approved here)

    FRN 834451

    • [FCA CF] Functions requiring qualifications (26 Apr 2021 to 30 Sep 2022)
    • [FCA CF] Client dealing (26 Apr 2021 to 30 Sep 2022)
  • Daiwa Corporate Advisory Limited (no longer approved here)

    FRN 175853

    • CF30 Customer (29 May 2008 to 30 Sep 2009)

Recent activity

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

No changes recorded yet.