Alan Steel (Asset Management) Limited

• Principal Place of Business

  Nobel House

  Blackness Road

  Linlithgow

  West Lothian

  EH49 7HU

  UNITED KINGDOM

  Phone

  +4401506842365

  Web

  https://www.alansteel.com

• Complaints Contact

  Nobel House

  Blackness Road

  Linlithgow

  West Lothian

  EH49 7HU

  UNITED KINGDOM

  Phone

  +4401506842365

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Alan Adam

  IRN AXA00082

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Alan McKay Steel

  IRN AMS00002

  • SMF9 Chair of the Governing Body (3 Apr 2020 to 15 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 15 Sep 2021)
  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Feb 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Alexander MacLean

  IRN AXM00003

  • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2004)
• Alexander Ritchie

  IRN AXR01427

  • CF21 Investment Adviser (10 Jul 2003 to 1 Aug 2004)
  • CF22 Investment Adviser (Trainee) (8 Oct 2002 to 10 Jul 2003)
• Andrew Hugh MacIntyre

  IRN AHM01112

  • CF30 Customer (1 Apr 2011 to 31 Jul 2018)
• Ashleigh Marie Travers

  IRN AXT00356

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 22 Nov 2021)
  • [FCA CF] Client dealing (since 22 Nov 2021)
• Carol Murray McNicol

  IRN CMM01118

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (5 Aug 2004 to 1 Dec 2004)
• Christian Peter Barlow

  IRN CXB00797

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 May 2024)
  • [FCA CF] Functions requiring qualifications (since 28 May 2024)
• Colin Joseph MacPherson

  IRN CJM00125

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (14 Feb 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David John Scott

  IRN DJS00117

  • CF30 Customer (1 Nov 2007 to 21 Jan 2015)
  • CF21 Investment Adviser (1 Nov 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Nov 2002)

No changes recorded yet.