Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Alexander Bates Campbell Ltd
FRN 522399
- (1)Employed By (since 29 Apr 2021)
- (2)Employed By (19 Apr 2010 to 31 Mar 2021)
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- 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
- CF30 Customer (since 29 Apr 2021)
- CF1 Director (AR) (since 29 Apr 2021)
- Appointed representative dealing with clients for which they require qualification (since 1 Apr 2021)
- [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
- [FCA CF] Client dealing (since 8 Mar 2021)
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- [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2021)
- CF30 Customer (19 May 2014 to 31 Mar 2021)
- CF1 Director (AR) (19 May 2014 to 31 Mar 2021)
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- CF30 Customer (19 Apr 2010 to 7 Jun 2014)
- CF1 Director (AR) (19 Apr 2010 to 7 Jun 2014)
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- CF1 Director (AR) (6 Nov 2009 to 5 Apr 2010)
- CF30 Customer (1 Nov 2007 to 5 Apr 2010)
- CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Alexander Bates Campbell Ltd
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controlled function added: (2)Employed By at Alexander Bates Campbell Ltd
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controlled function added: (1)Employed By at Alexander Bates Campbell Ltd