Andrew David Norman

Last updated
3 weeks ago
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Where they hold approval

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

  • Caliber Financial Associates Limited

    FRN 211875

    • 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)
    • 9A. Advising on P2P agreements
    • Responsibility for MCD Intermediation (since 12 Jan 2021)
    • Responsible for Insurance Distribution (since 12 Jan 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (since 29 Sep 2005)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2019)
    • CF10 Compliance Oversight (21 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Mar 2019 to 8 Dec 2019)
    • CF1 Director (2 Apr 2012 to 8 Dec 2019)
    • CF21 Investment Adviser (6 Aug 2004 to 31 Oct 2007)
  • F K FINANCIAL LIMITED

    FRN 434538

    • (1)Employed By (since 29 Sep 2005)

Recent activity

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

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