Alan Joseph Hooks

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.

  • Julius Baer International Limited

    FRN 139179

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 1 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
    • [FCA CF] Manager of certification employee (since 1 Apr 2020)
    • [FCA CF] Material risk taker (since 1 Apr 2020)
    • [FCA CF] Client dealing (since 1 Apr 2020)
    • CF29 Significant management (17 Sep 2019 to 8 Dec 2019)
    • CF30 Customer (7 Nov 2013 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (18 Mar 2010 to 1 Nov 2013)

Recent activity

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

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