Alexander William Barton

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Where they hold approval

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

Alexander Barton
FRN 1019072
- (1)Employed By (since 1 Oct 2024)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- CF30 Customer (since 12 Jul 2024)
- Appointed representative dealing with clients for which they require qualification (since 17 Jun 2024)
Sovereign Wealth Limited (no longer approved here)
FRN 471459
- (40)Employed By (12 Jul 2024 to 1 Oct 2024)

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

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.