Alan Paul Rafferty

• Scottish Widows Schroder Personal Wealth Limited

  FRN 830170

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 May 2020)
  • [FCA CF] Client dealing (since 15 May 2020)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
• Independent Wealth Management Consultants Ltd (no longer approved here)

  FRN 138903

  • CF30 Customer (28 Jun 2016 to 22 Feb 2019)
• HSBC Bank Plc (no longer approved here)

  FRN 114216

  • CF30 Customer (4 Mar 2015 to 6 Mar 2016)
• REGENTIA LIFESTYLE PLANNING LTD (no longer approved here)

  FRN 413890

  • CF30 Customer (23 Jun 2014 to 9 Dec 2014)
• My Pension Expert Limited (no longer approved here)

  FRN 579999

  • CF30 Customer (24 Jan 2014 to 2 Apr 2014)
• Chase de Vere Independent Financial Advisers limited (no longer approved here)

  FRN 137914

  • CF30 Customer (29 Nov 2012 to 4 Dec 2013)
• Bank of Scotland plc (no longer approved here)

  FRN 169628

  • CF30 Customer (1 Nov 2007 to 28 Feb 2012)
  • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
• RLUM Limited (no longer approved here)

  FRN 144032

  • CF21 Investment Adviser (10 Sep 2004 to 27 May 2005)
  • CF22 Investment Adviser (Trainee) (22 Oct 2003 to 10 Sep 2004)

No changes recorded yet.