Alan John Mills

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.

  • MARSHALL WOOLDRIDGE FINANCIAL SERVICES LIMITED

    FRN 729853

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (since 15 Jul 2016)
    • CF30 Customer (since 15 Jul 2016)
  • City House Investors Limited (no longer approved here)

    FRN 443586

    • CF30 Customer (1 Nov 2007 to 28 Feb 2008)
    • CF1 Director (AR) (2 Oct 2007 to 28 Feb 2008)
    • CF24 Pension Transfer Specialist (26 Oct 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (26 Oct 2006 to 31 Oct 2007)
  • Lifetime Financial Management Intermediaries Ltd (no longer approved here)

    FRN 225795

    • CF24 Pension Transfer Specialist (22 Jul 2004 to 31 Oct 2006)
    • CF21 Investment Adviser (11 Jun 2004 to 31 Oct 2006)
  • SLP Financial Services Ltd (no longer approved here)

    FRN 212970

    • (2)Employed By (19 Jun 2002 to 27 Jan 2003)

Recent activity

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

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