Richard 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.

  • Alexander Bates Campbell Financial Planning Limited

    FRN 817090

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Mar 2019)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 11 Mar 2021)
    • [PRA CF] Key function holder (9 Dec 2019 to 11 Mar 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 11 Mar 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 11 Mar 2021)
    • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 11 Mar 2021)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 11 Mar 2021)
    • CF10 Compliance Oversight (1 Mar 2019 to 8 Dec 2019)
    • CF1 Director (1 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
  • Courtney Havers LLP (no longer approved here)

    FRN 463179

    • CF1 Director (AR) (11 Oct 2017 to 28 Feb 2019)
    • CF30 Customer (8 Dec 2015 to 28 Feb 2019)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • CF30 Customer (9 Nov 2010 to 31 Oct 2015)
    • CF1 Director (AR) (9 Nov 2010 to 31 Oct 2015)
  • AV Trinity Limited (no longer approved here)

    FRN 182032

    • CF30 Customer (1 Nov 2007 to 13 Jul 2009)
    • CF1 Director (AR) (1 Dec 2001 to 13 Jul 2009)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 17 Jan 2005)
    • CF3 Chief Executive (1 Dec 2001 to 13 Jul 2009)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 13 Jul 2009)
  • AV Private Wealth Management Ltd (no longer approved here)

    FRN 452987

    • Employed By (21 Sep 2006 to 31 Mar 2009)

Recent activity

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

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