Simon Marshall James

• MHA Wealth Limited (no longer approved here)

  FRN 143715

  • [FCA CF] Client dealing (20 Feb 2023 to 7 Jun 2024)
  • [FCA CF] Material risk taker (20 Feb 2023 to 7 Jun 2024)
  • [FCA CF] Functions requiring qualifications (20 Feb 2023 to 7 Jun 2024)
• ValidPath Limited (no longer approved here)

  FRN 197107

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Mar 2023)
  • CF30 Customer (11 Dec 2017 to 16 Aug 2023)
• QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

  FRN 440703

  • CF30 Customer (20 Oct 2017 to 4 Dec 2017)
• Financial Planning Business Limited (no longer approved here)

  FRN 598887

  • (3)Employed By (20 Oct 2017 to 4 Dec 2017)
• Chase de Vere Independent Financial Advisers limited (no longer approved here)

  FRN 137914

  • CF30 Customer (14 Jan 2015 to 25 Aug 2017)
• St. James's Place Wealth Management Plc (no longer approved here)

  FRN 195351

  • CF30 Customer (28 Nov 2013 to 31 Dec 2014)
• Hargreaves Lansdown Advisory Services Limited (no longer approved here)

  FRN 189627

  • CF30 Customer (2 Jan 2013 to 24 Sep 2013)
• Coutts & Company (no longer approved here)

  FRN 122287

  • CF21 Investment Adviser (16 Jul 2004 to 7 Apr 2006)
  • CF22 Investment Adviser (Trainee) (31 Mar 2003 to 16 Jul 2004)

No changes recorded yet.