Steven James

Watch for changes

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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 20 Apr 2023)
- CF30 Customer (since 18 Apr 2023)
HJP Wealth Management Ltd
FRN 769912
- (10)Employed By (since 18 Apr 2023)
Perennial Financial Management Limited (no longer approved here)
FRN 402393
- CF30 Customer (26 Apr 2021 to 23 Dec 2022)
Linden House Financial Services Ltd (no longer approved here)
FRN 947508
- (2)Employed By (26 Apr 2021 to 23 Dec 2022)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (28 Jun 2011 to 30 Jun 2012)
Phoenix Wealth Services Limited (no longer approved here)
FRN 465753
- CF30 Customer (13 Sep 2010 to 27 May 2011)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.