Nick Harry Francis 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.

  • ValidPath Limited

    FRN 197107

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 7 Jun 2024)
    • CF1 Director (AR) (since 23 Apr 2024)
    • CF30 Customer (since 23 Apr 2024)
  • Newroad Financial Limited

    FRN 1012924

    • (2)Employed By (since 23 Apr 2024)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • Appointed representative dealing with clients for which they require qualification (17 Jun 2021 to 20 May 2024)
    • CF30 Customer (16 Jun 2021 to 14 May 2024)
  • One Financial Solutions Ltd (no longer approved here)

    FRN 607130

    • (12)Employed By (16 Jun 2021 to 6 Jun 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 May 2021)
    • CF30 Customer (23 Oct 2019 to 19 May 2021)
  • Pinnacle Wealth Management LLP (no longer approved here)

    FRN 582859

    • (39)Employed By (23 Oct 2019 to 19 May 2021)

Recent activity

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

No changes recorded yet.