Alexander Farmer

Last updated
6 days ago
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Where they hold approval

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

  • North Atlantic Investment Services Limited

    FRN 969870

    • 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
    • 17. Administrative functions in relation to managing investments
    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • 14. Managing investments
    • [FCA CF] Significant management (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • Ethos Partners LLP (no longer approved here)

    FRN 813812

    • SMF17 Money Laundering Reporting Officer (MLRO) (6 Mar 2021 to 11 Jul 2024)
    • SMF16 Compliance Oversight (6 Mar 2021 to 11 Jul 2024)
    • SMF27 Partner (9 Dec 2019 to 31 Dec 2024)
    • CF30 Customer (14 Feb 2019 to 8 Dec 2019)
    • CF4 Partner (14 Feb 2019 to 8 Dec 2019)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF4 Partner (AR) (22 Jun 2018 to 12 Feb 2019)
    • CF30 Customer (22 Jun 2018 to 12 Feb 2019)

Recent activity

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

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