Karl David Hames

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

    • 11. Pension transfer specialist
    • 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)
    • CF4 Partner (AR) (since 23 Apr 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (15 Oct 2008 to 23 Apr 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Hames Associates Wealth Management

    FRN 415108

    • (2)Employed By (since 8 Dec 2004)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

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