James Williams Roden

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.

  • Albert E Sharp LLP

    FRN 488822

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Nov 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Nov 2008 to 22 May 2017)
    • CF11 Money Laundering Reporting (17 Nov 2008 to 22 May 2017)
    • CF4 Partner (17 Nov 2008 to 8 Dec 2019)
  • AXA INVESTMENT MANAGERS UK LIMITED (no longer approved here)

    FRN 119368

    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

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