Nicholas James

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 2 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Jul 2021)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • [FCA CF] Manager of certification employee (11 Jul 2022 to 1 Apr 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (18 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • Thomas, Carroll Independent Financial Advisers Limited (no longer approved here)

    FRN 450497

    • CF21 Investment Adviser (3 Jul 2006 to 28 Aug 2006)
    • CF1 Director (3 Jul 2006 to 28 Aug 2006)
  • Thomas Carroll Independent Financial Advisers Ltd (no longer approved here)

    FRN 131482

    • Employed By (26 Sep 2003 to 2 Mar 2004)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF21 Investment Adviser (28 Feb 2002 to 29 Aug 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Feb 2002)

Recent activity

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

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