Steven John James

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.

  • GFI Securities Limited

    FRN 184801

    • [FCA CF] Material risk taker (since 1 Jan 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (3 Dec 2021 to 31 Dec 2022)
    • CF30 Customer (12 Jun 2013 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
    • CF21 Investment Adviser (4 Jun 2003 to 31 Oct 2007)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (26 Apr 2002 to 10 Jun 2003)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)

Recent activity

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

No changes recorded yet.