Jonathan Neil Alexander

Last updated
2 weeks ago
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Where they hold approval

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

  • Arundel Wealth Management Limited

    FRN 465838

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 May 2007 to 1 Mar 2013)
    • CF1 Director (14 May 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 May 2007 to 1 Mar 2013)
    • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (14 May 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 May 2007 to 30 Sep 2018)
  • Carpenter Rees Limited (no longer approved here)

    FRN 189740

    • CF21 Investment Adviser (5 Dec 2005 to 28 Feb 2007)
  • Kingsbridge Asset Management Ltd (no longer approved here)

    FRN 228666

    • (15)Employed By (16 Nov 2005 to 28 Feb 2007)
  • Churchmill Financial Services (no longer approved here)

    FRN 148094

    • Employed By (25 Apr 2002 to 22 Oct 2003)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (25 Apr 2002 to 22 Oct 2003)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Mar 2002)

Recent activity

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

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