Alexander Mark Broome

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (25 Aug 2015 to 21 Apr 2019)
Alex Broome (no longer approved here)
FRN 713887
- Employed By (25 Aug 2015 to 13 Dec 2018)
EFG Private Bank Limited (no longer approved here)
FRN 144036
- CF30 Customer (21 Sep 2010 to 22 Aug 2014)
Standard Chartered Bank (no longer approved here)
FRN 114276
- CF30 Customer (1 Aug 2008 to 21 Jan 2010)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.