Alison Jane Harrison

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Finli (G&P) Ltd

    FRN 142752

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 May 2025)
    • CF30 Customer (8 Apr 2019 to 8 Dec 2019)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • [FCA CF] Client dealing (3 Mar 2022 to 5 Apr 2024)
    • [FCA CF] Material risk taker (3 Mar 2022 to 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (3 Mar 2022 to 5 Apr 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (14 Dec 2017 to 12 Feb 2019)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (7)CF30 Customer (18 Apr 2016 to 4 Oct 2017)
  • The Financial Advice Service Ltd (no longer approved here)

    FRN 682428

    • Employed By (4 Sep 2015 to 30 Apr 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 29 May 2010)
    • CF21 Investment Adviser (29 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jan 2006 to 29 Nov 2006)

Recent activity

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

  1. controlled function added: (7)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD