Alan Thomas Carruthers

Watch for changes

Where they hold approval

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

Numis Securities Limited (no longer approved here)
FRN 144822
- SMF13 Chair of the Nominations Committee (9 Dec 2019 to 8 Feb 2022)
- CF2 Non Executive Director (20 Mar 2017 to 8 Dec 2019)
Brooks Macdonald Asset Management Limited (no longer approved here)
FRN 184918
- SMF13 Chair of the Nominations Committee (9 Dec 2019 to 8 Feb 2023)
- SMF9 Chair of the Governing Body (9 Dec 2019 to 8 Feb 2023)
- CF2 Non Executive Director (14 Mar 2019 to 8 Dec 2019)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF1 Director (8 Jan 2010 to 27 Jan 2011)
- CF30 Customer (4 Jan 2010 to 30 Jun 2011)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (4 Jan 2010 to 30 Jun 2011)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF21 Investment Adviser (1 Dec 2001 to 26 Aug 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.