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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 1 Jul 2025)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (7 Oct 2021 to 4 Jul 2022)
- CF30 Customer (14 Aug 2015 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 15 Dec 2007)
- CF21 Investment Adviser (27 Aug 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (10 Feb 2003 to 27 Aug 2003)
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- CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.