Yaser Ali

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.

  • Scottish Widows Schroder Personal Wealth Limited

    FRN 830170

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 25 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2021)
    • [FCA CF] Client dealing (6 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Manager of certification employee (9 Sep 2020 to 6 Jan 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Mar 2010 to 20 Dec 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 28 Feb 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (30 Aug 2002 to 30 Apr 2006)
    • CF22 Investment Adviser (Trainee) (7 Feb 2002 to 30 Aug 2002)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF22 Investment Adviser (Trainee) (7 Feb 2002 to 30 Aug 2002)

Recent activity

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

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