Alexander Tate

Last updated
3 weeks ago
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Where they hold approval

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

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Material risk taker (since 20 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • CF30 Customer (1 Apr 2014 to 6 Mar 2016)
  • Schroder Unit Trusts Limited (no longer approved here)

    FRN 197288

    • [FCA CF] Material risk taker (2 Mar 2020 to 1 Sep 2025)

Recent activity

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

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