Alan Lazenby

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.

  • Lazenbys Financial Services Limited

    FRN 811996

    • 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 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (9 Jan 2019 to 8 Dec 2019)
    • CF1 Director (9 Jan 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Jan 2019 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (9 Jul 2015 to 31 Dec 2018)
    • CF1 Director (AR) (9 Jul 2015 to 31 Dec 2018)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (9 Jul 2015 to 14 Oct 2015)
  • Lazenbys Financial Services Limited (no longer approved here)

    FRN 592471

    • Employed By (9 Jul 2015 to 31 Dec 2018)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (28 Aug 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Jan 2007 to 28 Aug 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (28 Aug 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Jan 2007 to 28 Aug 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 8 Nov 2002)

Recent activity

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

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