Alan Thomas Ward

Watch for changes

Where they hold approval

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

HL Partnership Limited
FRN 303397
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
Award Mortgages Ltd (no longer approved here)
FRN 417410
- Employed By (1 May 2007 to 6 Aug 2010)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF22 Investment Adviser (Trainee) (29 May 2002 to 3 Jun 2003)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- CF22 Investment Adviser (Trainee) (29 May 2002 to 3 Jun 2003)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF22 Investment Adviser (Trainee) (29 May 2002 to 20 Dec 2006)

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.