Nicholas Fox

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.

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 1 Sep 2020)
  • W H Ireland Limited (no longer approved here)

    FRN 140773

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2020)
    • CF30 Customer (15 Sep 2014 to 8 Dec 2019)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF30 Customer (1 Nov 2007 to 1 Jul 2009)
    • CF27 Investment Management (10 Sep 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)

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

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