Alan Chan

Last updated
1 week ago
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Where they hold approval

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

  • IFS Wealth & Pensions Ltd

    FRN 713063

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (30 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (30 Oct 2015 to 8 Dec 2019)
  • Thornton & Baines Independent Financial Advisers Limited (no longer approved here)

    FRN 462513

    • CF30 Customer (5 Jul 2013 to 30 Aug 2013)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (25 Nov 2011 to 31 May 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (23 Dec 2008 to 29 Oct 2011)

Recent activity

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

No changes recorded yet.