Nicholas James York

Last updated
6 days ago
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Where they hold approval

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

  • Nicholas James Mortgage & Financial Services Ltd

    FRN 943672

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsibility for MCD Intermediation (since 19 Jul 2021)
    • Responsible for Insurance Distribution (since 19 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 19 Jul 2021)
    • SMF16 Compliance Oversight (since 19 Jul 2021)
    • SMF3 Executive Director (since 19 Jul 2021)
  • RTA MORTGAGE & FINANCIAL SERVICES LTD (no longer approved here)

    FRN 596364

    • [FCA CF] Functions requiring qualifications (23 Sep 2020 to 16 Jul 2021)

Recent activity

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

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