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.

• Fiona Constance Brydon Middlemiss

  IRN FCM00002

  • CF30 Customer (5 Dec 2014 to 29 Jun 2018)
  • Responsible for Insurance Mediation (20 Dec 2012 to 29 Jun 2018)
  • CF11 Money Laundering Reporting (4 Mar 2010 to 29 Jun 2018)
  • CF1 Director (2 Dec 2009 to 29 Jun 2018)
  • CF10 Compliance Oversight (1 Nov 2005 to 29 Jun 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Frances Mary Elizabeth Steel

  IRN FMS01048

  • SMF9 Chair of the Governing Body (21 Mar 2022 to 30 Apr 2025)
  • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2025)
  • CF1 Director (1 Feb 2010 to 8 Dec 2019)
• Gary Paul Millward

  IRN GPM01095

  • [FCA CF] Client dealing (9 Dec 2019 to 16 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 May 2022)
  • CF30 Customer (11 Dec 2015 to 8 Dec 2019)
• Graeme Currie

  IRN GXC00002

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Apr 2023)
  • CF11 Money Laundering Reporting (13 Nov 2007 to 13 Jan 2010)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 11 Aug 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 11 Aug 2009)
• Gregor Ian Gavin Anderson

  IRN GIA00008

  • 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] Client dealing (since 23 May 2022)
  • [FCA CF] Functions requiring qualifications (since 23 May 2022)
• Henry Melrose

  IRN HXM01513

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
  • CF11 Money Laundering Reporting (22 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2013 to 8 Dec 2019)
• Karen Barlow

  IRN KXB02146

  • SMF3 Executive Director (since 1 Jun 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Nov 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (22 Jun 2018 to 8 Dec 2019)
• Luciano Caira

  IRN LXC00455

  • 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 6 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
• Michael Melrose

  IRN MXM10528

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2019 to 8 Dec 2019)
• Neil Peter Gordon

  IRN NXG00130

  • 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 3 Jun 2021)
  • [FCA CF] Client dealing (since 3 Jun 2021)

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