Alexander John Rich

Last updated
5 days ago
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Where they hold approval

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

  • Y Tree Limited

    FRN 967369

    • 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] Manager of certification employee (since 14 Feb 2024)
    • [FCA CF] Client dealing (since 17 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
  • G10 Capital Limited (no longer approved here)

    FRN 648953

    • CF30 Customer (19 Apr 2022 to 11 Jan 2023)
  • Thornbridge Investment Management LLP (no longer approved here)

    FRN 713859

    • [FCA CF] Client dealing (7 May 2021 to 16 Jan 2023)
    • Appointed representative dealing with clients for which they require qualification (7 May 2021 to 16 Jan 2023)
    • CF30 Customer (7 May 2021 to 16 Jan 2023)
  • Y Tree Limited (no longer approved here)

    FRN 799043

    • Employed By (7 May 2021 to 16 Jan 2023)

Recent activity

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

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