Alan Russell Ball

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.

  • Russell Gibson Financial Management Limited

    FRN 533522

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 19 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
    • SMF3 Executive Director (9 Dec 2019 to 15 Aug 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Sep 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 15 Aug 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 15 Aug 2023)
    • CF30 Customer (10 Dec 2010 to 8 Dec 2019)
    • CF1 Director (10 Dec 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Dec 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Dec 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Dec 2010 to 30 Sep 2018)
  • Acumen Financial Planning Limited (no longer approved here)

    FRN 218745

    • CF30 Customer (1 Nov 2007 to 4 Feb 2008)
    • CF21 Investment Adviser (2 Jan 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Oct 2002 to 2 Jan 2003)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2002)

Recent activity

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

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