Alan Buchanan

Last updated
6 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Buchanan & Company Financial Services Limited

    FRN 950421

    • 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 1 Sep 2021)
    • SMF16 Compliance Oversight (since 1 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2021)
    • SMF3 Executive Director (since 1 Sep 2021)
    • [FCA CF] Client dealing (since 1 Sep 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Sep 2021)
    • CF4 Partner (AR) (12 Oct 2015 to 15 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 15 Sep 2021)
    • CF21 Investment Adviser (10 Nov 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 May 2005 to 10 Nov 2005)

Recent activity

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

No changes recorded yet.