Samantha Brown

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.

  • C. Alexander Financial Planning Ltd

    FRN 622387

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Responsible for Insurance Distribution (since 30 Nov 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Nov 2022)
    • SMF16 Compliance Oversight (since 30 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • [FCA CF] Client dealing (since 2 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (2 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
  • C Alexander & Partners Ltd (no longer approved here)

    FRN 118341

    • Employed By (14 Aug 2008 to 4 Jul 2014)

Recent activity

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

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