Andrew John David Herberts

Watch for changes

Where they hold approval

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

Anderson Strathern Asset Management Limited
FRN 552925
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 21 Jan 2021)
- [FCA CF] Client dealing (since 9 Dec 2019)
CG Wealth Planning Limited (no longer approved here)
FRN 594155
- CF30 Customer (22 Jul 2019 to 12 Nov 2019)
- CF1 Director (2 Dec 2014 to 1 May 2019)
Canaccord Genuity Wealth Limited (no longer approved here)
FRN 194927
- CF30 Customer (8 May 2019 to 12 Nov 2019)
Thomas Miller Investment Ltd. (no longer approved here)
FRN 189829
- CF1 Director (19 Jun 2014 to 1 May 2019)
- CF30 Customer (21 May 2012 to 1 May 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.