Alexander James Simpson

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 20 May 2024)
    • [FCA CF] Client dealing (since 20 May 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 20 May 2024)
    • CF30 Customer (20 Dec 2013 to 20 May 2024)
    • CF1 Director (AR) (20 Dec 2013 to 20 May 2024)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (16 Nov 2009 to 21 Nov 2013)
    • CF22 Investment Adviser (Trainee) (12 Feb 2003 to 13 May 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Mar 2002)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (18 Mar 2009 to 17 Nov 2009)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 16 Jul 2008)
    • CF22 Investment Adviser (Trainee) (6 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.