Alex Schlich

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.

  • Yellowstone Advisory Limited

    FRN 807276

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (24 Sep 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Sep 2018 to 8 Dec 2019)
    • CF3 Chief Executive (1 Aug 2018 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2018 to 8 Dec 2019)
    • CF1 Director (1 Aug 2018 to 8 Dec 2019)
  • Northland Capital Partners Limited (no longer approved here)

    FRN 155200

    • [FCA CF] Client dealing (1 Feb 2021 to 24 Nov 2025)
  • Sanlam Investments UK Limited (no longer approved here)

    FRN 459237

    • CF30 Customer (22 Oct 2013 to 25 Jan 2017)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (1 Nov 2007 to 21 Jun 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.