Allan Fraser Bertie

Watch for changes

Where they hold approval

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

Raymond James Financial International Limited
FRN 188244
- SMF1 Chief Executive (since 1 Nov 2025)
- SMF3 Executive Director (since 1 Nov 2025)
- [FCA CF] Material risk taker (since 24 Feb 2023)
- [FCA CF] Client dealing (since 9 Jun 2020)
- [FCA CF] Manager of certification employee (since 9 Jun 2020)
- [FCA CF] Significant management (9 Jun 2020 to 31 Oct 2025)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (22 Apr 2015 to 8 Dec 2019)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF30 Customer (28 Nov 2011 to 1 Nov 2013)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF23 Corporate Finance Adviser (30 Aug 2002 to 11 Nov 2002)

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.