James Wotherspoon

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.

  • Cairn Independent Limited (no longer approved here)

    FRN 142665

    • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2020)
    • CF30 Customer (22 Apr 2014 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Dec 2012 to 19 Apr 2014)
    • CF21 Investment Adviser (20 May 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 May 2003 to 20 May 2004)

Recent activity

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

No changes recorded yet.