Alistair Iain Beckett

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.

  • John Roddick & Son

    FRN 113038

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 29 Jul 2021)
    • Sole trader dealing with clients for which they require qualification (since 29 Jul 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 20 Sep 2018)
    • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (13 Sep 2018 to 13 Mar 2020)

Recent activity

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

No changes recorded yet.