Stephen Paul James

Last updated
3 days ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 28 Dec 2016)
  • Capstone Financial Management Ltd

    FRN 630674

    • Employed By (since 28 Dec 2016)
  • EVOLUTION WEALTH NETWORK LIMITED (no longer approved here)

    FRN 591218

    • CF30 Customer (29 Aug 2019 to 28 Mar 2020)
  • Client Servicing Ltd (no longer approved here)

    FRN 797975

    • Employed By (29 Aug 2019 to 27 Mar 2020)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (3 Dec 2013 to 16 Dec 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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