Alan Michael Butler

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Blakes Financial Management Limited

    FRN 810027

    • 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] Client dealing (since 1 Sep 2022)
    • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
    • [PRA CF] Key function holder (since 26 Mar 2021)
    • [FCA CF] Significant management (since 26 Mar 2021)
    • [FCA CF] Manager of certification employee (since 26 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (2 Feb 2024 to 23 May 2025)
    • CF11 Money Laundering Reporting (5 Dec 2018 to 8 Dec 2019)
    • CF1 Director (5 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (5 Dec 2018 to 8 Dec 2019)
    • Responsible for Insurance Distribution (5 Dec 2018 to 23 May 2025)
  • AB FINANCIAL PARTNERS LTD (no longer approved here)

    FRN 1005869

    • Employed By (2 Feb 2024 to 23 May 2025)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF1 Director (AR) (12 Apr 2017 to 3 Dec 2018)
    • CF30 Customer (12 Apr 2017 to 3 Dec 2018)
  • Blakes Financial Management Ltd (no longer approved here)

    FRN 584619

    • Employed By (2 Aug 2012 to 4 Dec 2018)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (1 Nov 2007 to 3 Jul 2012)
    • CF21 Investment Adviser (12 Jul 2006 to 31 Oct 2007)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (1 Mar 2005 to 28 Apr 2006)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2002)

Recent activity

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

No changes recorded yet.