Alexander Douglas Limited

Date authorised
1 December 2014
Companies House
08863074
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    108 Eaton Crescent
    Swansea
    Abertawe
    SA1 4QR
    UNITED KINGDOM
    Phone
    +4401792654790
    Web
    https://www.alexanderdouglasltd.co.uk

  • Complaints Contact

    108 Eaton Crescent
    Swansea
    Abertawe
    SA1 4QR
    UNITED KINGDOM
    Phone
    +4401792654790

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For 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

    Show 1 limitation
    • · 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 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, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Stockbroking

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For 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), Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Basic Pension Advice

    For Retail (Investment), Stakeholder products

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alexander Rupert Ianson-Jones

    IRN ARI01019

    • 11. Pension transfer specialist
    • [FCA CF] CASS oversight function (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • [FCA CF] Significant management (since 31 Mar 2021)
    • [PRA CF] Key function holder (since 21 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
  • Douglas Alan Jones

    IRN DAJ00005

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • CF30 Customer (13 Jul 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.