Alan John Powell

Last updated
2 weeks ago
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Where they hold approval

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

  • Elite-Wealth Management UK Ltd

    FRN 496442

    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 12 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 12 Aug 2020)
    • Responsibility for MCD Intermediation (since 2 Jun 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (12 Aug 2020 to 11 Feb 2022)
    • CF30 Customer (12 Mar 2009 to 8 Dec 2019)
    • CF1 Director (12 Mar 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Mar 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Mar 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (12 Mar 2009 to 31 Mar 2009)
    • Responsible for Insurance Mediation (12 Mar 2009 to 30 Sep 2018)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 25 Mar 2008)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (28 Jun 2006 to 18 Sep 2006)
    • CF22 Investment Adviser (Trainee) (3 Aug 2005 to 28 Jun 2006)

Recent activity

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

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