Alexander Wotherspoon

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Where they hold approval

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

Frank Investments Limited
FRN 627697
- CF1 Director (AR) (since 26 Mar 2019)
- CF30 Customer (since 26 Mar 2019)
Imperial Treasury Services Ltd
FRN 836275
- (5)Employed By (since 26 Mar 2019)
Linear Investments Limited (no longer approved here)
FRN 537389
- [FCA CF] Client dealing (14 Dec 2021 to 18 Mar 2025)
- CF30 Customer (22 Apr 2020 to 14 Dec 2021)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (21 Aug 2014 to 13 Jul 2018)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (12 Nov 2007 to 14 Jan 2014)

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.