Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Alan Steel (Asset Management) Limited
FRN 114423
- 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)
- [FCA CF] Manager of certification employee (since 9 Dec 2020)
- 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)
- Responsible for Insurance Mediation (4 Jul 2018 to 30 Sep 2018)
- CF1 Director (24 Apr 2012 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (12 Dec 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (6 Sep 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.