Alan Robert Sneddon

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.

  • Finli (G&P) Ltd (no longer approved here)

    FRN 142752

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Mar 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Mar 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 12 Nov 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 12 Nov 2018)
    • Responsible for Insurance Mediation (29 Oct 2015 to 30 Sep 2018)
    • CF30 Customer (20 May 2014 to 7 Nov 2016)
    • CF11 Money Laundering Reporting (17 Oct 2005 to 6 Jul 2006)
    • CF10 Compliance Oversight (17 Oct 2005 to 6 Jul 2006)
    • CF1 Director (6 Oct 2005 to 12 Nov 2018)
    • CF21 Investment Adviser (6 Oct 2005 to 2 May 2007)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • CF1 Director (1 Apr 2015 to 12 Nov 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • CF21 Investment Adviser (30 Jul 2007 to 31 Oct 2007)
    • CF1 Director (AR) (4 Jan 2007 to 9 May 2011)
    • CF22 Investment Adviser (Trainee) (4 Jan 2007 to 30 Jul 2007)
  • The Northallerton Practice Ltd (no longer approved here)

    FRN 461818

    • Employed By (4 Jan 2007 to 9 May 2011)

Recent activity

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

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