Andrew Charles Hawker

Last updated
5 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Andrew Hawker Financial Management Limited

    FRN 973832

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 3 Oct 2022)
    • Responsible for Insurance Distribution (since 3 Oct 2022)
    • SMF16 Compliance Oversight (since 3 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Oct 2022)
    • SMF3 Executive Director (since 3 Oct 2022)
    • [FCA CF] Client dealing (since 3 Oct 2022)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Sep 2022)
    • CF30 Customer (1 Nov 2007 to 30 Sep 2022)
    • CF1 Director (AR) (28 Mar 2007 to 30 Sep 2022)
    • CF21 Investment Adviser (6 Apr 2006 to 31 Oct 2007)
  • BBT Group Ltd (no longer approved here)

    FRN 189722

    • Employed By (20 Apr 2015 to 7 Jan 2016)
  • Bespoke Independent Financial Advisers Limited (no longer approved here)

    FRN 610625

    • CF30 Customer (29 Oct 2014 to 12 Apr 2016)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (22 Nov 2013 to 30 Sep 2014)
  • Bespoke Independent Financial Advisers (no longer approved here)

    FRN 182242

    • Employed By (22 Nov 2013 to 30 Sep 2014)
  • Andrew Hawker Financial Management Limited (no longer approved here)

    FRN 186387

    • Employed By (1 Oct 1998 to 6 Mar 2006)

Recent activity

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

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