Andrew James Tucker

Last updated
2 weeks ago
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Where they hold approval

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

  • FINANCIAL PLANNING SOLUTIONS LIMITED

    FRN 480455

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (23 May 2008 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (7 May 2008 to 31 Mar 2009)
    • CF1 Director (7 May 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 May 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 May 2008 to 8 Dec 2019)
    • CF30 Customer (7 May 2008 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 16 Jun 2008)
    • CF21 Investment Adviser (1 Dec 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Aug 2003 to 1 Dec 2003)
  • 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

    • (625)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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