Derek George Campbell

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.

  • Campbell Alexander Financial Management Ltd

    FRN 794406

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 27 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 1 Oct 2018)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (1 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (8 Jul 2013 to 30 Sep 2018)
    • CF1 Director (AR) (8 Jul 2013 to 30 Sep 2018)
  • Campbell Alexander Financial Management Ltd (no longer approved here)

    FRN 602303

    • Employed By (8 Jul 2013 to 30 Sep 2018)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 8 Jul 2013)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • Derek George Campbell (no longer approved here)

    FRN 214909

    • Employed By (1 Dec 2001 to 8 Jul 2013)

Recent activity

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

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