Alan Robert McKelvey

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.

  • Alan McKelvey

    FRN 572917

    • 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)
    • Sole trader dealing with clients for which they require qualification (since 7 Oct 2020)
    • [FCA CF] Client dealing (since 16 Apr 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (16 Apr 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Apr 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Apr 2012 to 30 Sep 2018)
  • Thornton & Baines Independent Financial Advisers Limited (no longer approved here)

    FRN 462513

    • CF30 Customer (1 Jul 2009 to 14 Mar 2012)
    • CF21 Investment Adviser (26 Sep 2007 to 31 Oct 2007)

Recent activity

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

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