Alan James Ramsay

Watch for changes

Where they hold approval

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

RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Jun 2020)
- CF30 Customer (5 Jul 2013 to 8 Dec 2019)
Berkeley La Roche Financial Consultants Ltd (no longer approved here)
FRN 196689
- CF30 Customer (1 Nov 2007 to 30 Apr 2009)
- CF24 Pension Transfer Specialist (20 Jan 2006 to 31 Oct 2007)
- CF21 Investment Adviser (16 May 2005 to 31 Oct 2007)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.