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.

  • Foundation Investment Management Limited

    FRN 612117

    • [FCA CF] Manager of certification employee (since 5 Mar 2026)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF10 Compliance Oversight (9 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Oct 2018 to 8 Dec 2019)
    • CF1 Director (14 Nov 2014 to 8 Dec 2019)
  • Greystone Financial Services Limited

    FRN 154622

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 15 Nov 2019)
    • Responsible for Insurance Distribution (since 9 Oct 2018)
    • CF11 Money Laundering Reporting (9 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Oct 2018 to 8 Dec 2019)
    • CF3 Chief Executive (17 Apr 2012 to 8 Dec 2019)
    • CF1 Director (8 Dec 2011 to 8 Dec 2019)
    • CF28 Systems and controls (8 Dec 2011 to 8 Dec 2019)
  • LIFT-Financial Ltd (no longer approved here)

    FRN 471394

    • CF30 Customer (1 Apr 2009 to 1 Jun 2009)
    • CF29 Significant management (25 Sep 2008 to 1 Jun 2009)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (16 Jun 2003 to 20 Dec 2004)
  • Countrywide Assured Financial Services (Introducer) (no longer approved here)

    FRN 158248

    • Employed By (7 Sep 2000 to 4 Jul 2002)

Recent activity

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

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