Alan Rodrick Thomson Waugh

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.

  • Alan Roderick Thomson Waugh

    FRN 756253

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 9 Dec 2020)
    • Responsibility for MCD Intermediation (since 9 Dec 2020)
    • Sole trader dealing with clients for which they require qualification (since 1 Sep 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (12 May 2015 to 15 May 2015)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (21 Feb 2013 to 24 Jan 2017)
    • CF30 Customer (21 Feb 2013 to 24 Jan 2017)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (16 Jun 2011 to 31 Dec 2012)
    • CF30 Customer (16 Jun 2011 to 31 Dec 2012)
  • Agility Financial Management Ltd (no longer approved here)

    FRN 551830

    • Employed By (16 Jun 2011 to 31 Dec 2012)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Jun 2003 to 31 Dec 2003)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (628)Employed By (19 Jun 2003 to 31 Dec 2003)

Recent activity

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

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