David Simon Alexander

Last updated
1 week ago
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Where they hold approval

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

  • P M Investment Services Limited

    FRN 772846

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF16 Compliance Oversight (since 4 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF3 Chief Executive (1 Aug 2017 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Aug 2017 to 30 Sep 2018)
    • CF1 Director (1 Aug 2017 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc

    FRN 195351

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (since 15 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • AIM (London) Ltd

    FRN 743942

    • (1)Employed By (since 19 Apr 2016)
  • AAG Mortgage Brokerage Ltd (no longer approved here)

    FRN 193688

    • (4)Employed By (15 Oct 2004 to 23 Oct 2017)
  • AAGSJP Ltd (no longer approved here)

    FRN 402015

    • (41)Employed By (29 Sep 2004 to 14 Jul 2016)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

  1. controlled function removed: Employed By at AAGSJP Ltd

  2. controlled function added: (41)Employed By at AAGSJP Ltd

  3. controlled function added: (4)Employed By at AAG Mortgage Brokerage Ltd