Alan James Norris

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Sep 2006 to 9 Jan 2007)
  • Alan Norris

    FRN 456997

    • (1)Employed By (since 12 Sep 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 6 Oct 2006)

Recent activity

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

  1. controlled function removed: Employed By at Alan Norris

  2. controlled function added: (1)Employed By at Alan Norris