Alasdair James David Pike

Last updated
4 days ago
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Where they hold approval

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

  • Royal Exchange Investment Management Ltd

    FRN 1042599

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 9 Feb 2026)
    • [FCA CF] Client dealing (since 9 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 9 Feb 2026)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Aug 2021)
    • [FCA CF] Client dealing (since 2 Aug 2021)
  • J.M. FINN & CO.LTD (no longer approved here)

    FRN 450754

    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 15 Jun 2021)
    • [FCA CF] Client dealing (1 Jan 2021 to 15 Jun 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
    • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)

Recent activity

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

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