Alex Burgess

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.

  • Quays Wealth Services Limited

    FRN 629971

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Responsible for Insurance Distribution (since 15 Feb 2021)
    • SMF3 Executive Director (since 15 Feb 2021)
    • Responsibility for MCD Intermediation (since 15 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (15 Feb 2021 to 12 May 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Feb 2021 to 10 Jun 2025)
  • The Children's ISA Limited (no longer approved here)

    FRN 563043

    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jul 2021)
    • SMF3 Executive Director (9 Dec 2019 to 2 Dec 2024)
    • Responsible for Insurance Distribution (30 Jul 2019 to 19 Jul 2021)
    • CF11 Money Laundering Reporting (30 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jul 2019 to 8 Dec 2019)
    • CF1 Director (4 Mar 2016 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (7 Sep 2016 to 29 Dec 2017)
  • Cottons Financial Planning Limited (no longer approved here)

    FRN 625649

    • Employed By (7 Sep 2016 to 29 Dec 2017)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (5 Jun 2014 to 2 Nov 2015)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (11 Oct 2010 to 14 Mar 2011)

Recent activity

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

No changes recorded yet.