Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 27 Oct 2023)
- CF1 Director (AR) (since 23 Oct 2023)
- CF30 Customer (since 23 Oct 2023)
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- (1)Employed By (23 Oct 2023 to 30 Oct 2023)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 24 Oct 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 24 Oct 2023)
- CF30 Customer (13 Apr 2017 to 24 Oct 2023)
- CF1 Director (AR) (27 Jan 2017 to 24 Oct 2023)
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- CF26 Customer Trading (25 Nov 2005 to 16 May 2006)
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- CF26 Customer Trading (25 Nov 2005 to 16 May 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.