Alexander Thomas

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.

  • D G S Independent Financial Advisers Limited

    FRN 225814

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 4 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Jan 2021)
    • CF30 Customer (26 Sep 2018 to 4 Jan 2021)
  • Lifetime Wealth Management Limited (no longer approved here)

    FRN 400358

    • (41)Employed By (26 Sep 2018 to 4 Jan 2021)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.