RICHARD FRANCIS JAMES Tarrant

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.

  • Bank of Montreal (no longer approved here)

    FRN 124788

    • [PRA CF] Managing a material risk taker (1 Jun 2024 to 1 Aug 2025)
    • [FCA CF] Material risk taker (1 Jun 2022 to 1 Aug 2025)
    • [FCA CF] Client dealing (2 Mar 2018 to 1 Aug 2025)
  • BMO Capital Markets Limited (no longer approved here)

    FRN 170937

    • [PRA CF] Managing a material risk taker (1 Jun 2024 to 1 Aug 2025)
    • [FCA CF] Client dealing (1 Jun 2020 to 1 Aug 2025)
    • [FCA CF] Material risk taker (1 Jun 2020 to 1 Aug 2025)
    • CF30 Customer (9 Dec 2015 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (25 Jan 2011 to 24 Dec 2014)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (13 Oct 2004 to 10 Nov 2005)

Recent activity

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

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