John Andrew Cumming

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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 22 Nov 2010)
  • John Cumming

    FRN 535947

    • (1)Employed By (since 22 Nov 2010)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (24 Nov 2009 to 31 Dec 2009)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2002)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Jan 2002 to 5 Jun 2003)

Recent activity

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

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