Fitzallan Ltd

• Principal Place of Business

  4/2 Fyfe Chambers

  105 West George Street

  Glasgow

  Lanarkshire

  G2 1PB

  UNITED KINGDOM

  Phone

  +4401415647700

  Web

  https://www.fitzallan.com

• Complaints Contact

  4/2 Fyfe Chambers

  105 West George Street

  Glasgow

  Lanarkshire

  G2 1PB

  UNITED KINGDOM

  Phone

  +4401415647700

• P2P Lending Advice

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

• 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

  Show 1 limitation Hide limitations

  • · 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 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

  Show 1 limitation Hide limitations

  • · 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.

• Alexander Leith Stuart

  IRN ALS00006

  • CF30 Customer (1 Nov 2007 to 31 Jan 2016)
  • CF8 Apportionment and Oversight (20 Sep 2004 to 15 Jan 2008)
  • CF3 Chief Executive (20 Sep 2004 to 31 Dec 2015)
  • CF21 Investment Adviser (20 Sep 2004 to 31 Oct 2007)
  • CF1 Director (20 Sep 2004 to 31 Dec 2015)
  • CF24 Pension Transfer Specialist (20 Sep 2004 to 31 Oct 2007)
• Christine Lau

  IRN CCC01037

  • CF30 Customer (2 Apr 2019 to 8 Dec 2019)
• Gillian Hunter

  IRN GXH01269

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Feb 2018 to 8 Dec 2019)
• Gregor Stewart Johnston

  IRN GSJ00009

  • 9A. Advising on P2P agreements
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 May 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Sep 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (20 Sep 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Sep 2004 to 8 Dec 2019)
  • CF1 Director (20 Sep 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (20 Sep 2004 to 31 Oct 2007)
• Katie Anne Young

  IRN KAY01015

  • CF30 Customer (9 Jan 2017 to 8 Dec 2019)
• Maeve Elizabeth Anne Clinton

  IRN MEK01032

  • CF30 Customer (4 Nov 2017 to 8 Dec 2019)
• Max McIntosh

  IRN MXM00407

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2021)
  • [FCA CF] Client dealing (since 1 Nov 2021)
• Neil James Brennan

  IRN NJB00007

  • 9A. Advising on P2P agreements
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Jun 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Jun 2005 to 8 Dec 2019)
  • CF1 Director (1 Jun 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
• Pamela Walters

  IRN PXF01394

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
• Richard Paul Wadsworth

  IRN RPW00006

  • CF30 Customer (1 Nov 2007 to 19 Jun 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 19 Jun 2012)
  • CF1 Director (20 Sep 2004 to 19 Jun 2012)
  • CF21 Investment Adviser (20 Sep 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (20 Sep 2004 to 31 Oct 2007)

No changes recorded yet.