Alan John Powell

IRN: AJP01234•Active
Type
Approved Person
Known As
Alan
Total Roles
30
Active Roles
11

Current Roles (11)

FirmRoleSince
Elite-Wealth Management UK LtdCPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway)12/08/2020
Elite-Wealth Management UK LtdThe Chartered Insurance Institute (CII)12/08/2020
Elite-Wealth Management UK Ltd[FCA CF] Client dealing12/08/2020
Elite-Wealth Management UK LtdCPD4 - Personal recommendation on retail investments (not broker funds)12/08/2020
Elite-Wealth Management UK LtdCPD7 - Personal recommendation on long-term care insurance12/08/2020
Elite-Wealth Management UK Ltd[FCA CF] Functions requiring qualifications12/08/2020
Elite-Wealth Management UK LtdResponsibility for MCD Intermediation02/06/2020
Elite-Wealth Management UK LtdSMF16 Compliance Oversight09/12/2019
Elite-Wealth Management UK LtdSMF3 Executive Director09/12/2019
Elite-Wealth Management UK LtdSMF17 Money Laundering Reporting Officer (MLRO)09/12/2019
Elite-Wealth Management UK LtdResponsible for Insurance Distribution01/10/2018

Past Roles (19)

FirmRoleFromToStatus
Elite-Wealth Management UK LtdCPD9A - Advising on P2P agreements12/08/202011/02/2022Withdrawn
Elite-Wealth Management UK Ltd[FCA CF] Manager of certification employee12/08/202011/02/2022Withdrawn
Elite-Wealth Management UK LtdCF30 Customer12/03/200908/12/2019Withdrawn
Elite-Wealth Management UK LtdCF10 Compliance Oversight12/03/200908/12/2019Withdrawn
Elite-Wealth Management UK LtdCF1 Director12/03/200908/12/2019Withdrawn
Elite-Wealth Management UK LtdCF11 Money Laundering Reporting12/03/200908/12/2019Withdrawn
Elite-Wealth Management UK LtdResponsible for Insurance Mediation12/03/200930/09/2018Converted
Elite-Wealth Management UK LtdCF8 Apportionment and Oversight12/03/200931/03/2009Withdrawn
Independent Financial Management Service (Europe) LimitedCF30 Customer12/01/200912/02/2009Withdrawn
G & W 5 LtdCF30 Customer24/04/200829/05/2009Withdrawn
Bank of Scotland plcCF30 Customer01/11/200725/03/2008Withdrawn
Bank of Scotland plcCF22 Investment Adviser (Trainee)17/09/200731/10/2007Converted
Halifax PlcCF22 Investment Adviser (Trainee)13/02/200717/09/2007Withdrawn
Lloyds Bank PLCCF21 Investment Adviser28/06/200618/09/2006Withdrawn
Lloyds Bank PLCCF22 Investment Adviser (Trainee)03/08/200528/06/2006Withdrawn (Form E)
PremierEmployed By22/12/200417/06/2005Terminated
The Clarkson Hill Group plcCF21 Investment Adviser12/10/200417/06/2005Withdrawn
Acorn Investment Management LimitedEmployed By24/09/200406/10/2004Terminated
Investment Strategies (UK) LimitedCF22 Investment Adviser (Trainee)24/09/200406/10/2004Withdrawn