Alan Sheekey

Last updated
1 week ago
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Where they hold approval

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

  • Broadgate Wealth Client Servicing LLP

    FRN 815602

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 24 Jul 2019)
    • Responsible for Insurance Distribution (since 24 Jul 2019)
    • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 24 Nov 2022)
    • [FCA CF] Client dealing (24 Nov 2020 to 24 Nov 2022)
    • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (24 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Jul 2019 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (4 Oct 2005 to 20 Mar 2006)
    • CF7 Sole Trader (AR) (18 Aug 2004 to 20 Mar 2006)
    • CF22 Investment Adviser (Trainee) (18 Aug 2004 to 4 Oct 2005)
  • Broadgate Financial Services & Investments (no longer approved here)

    FRN 402713

    • Employed By (18 Aug 2004 to 20 Mar 2006)

Recent activity

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

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