Andrew John Pilling

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Pilling Financial Ltd

    FRN 625337

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 28 Apr 2020)
    • Responsible for Insurance Distribution (since 28 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Apr 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
    • CF1 Director (1 Oct 2014 to 8 Dec 2019)
  • D & P Asset Management Limited (no longer approved here)

    FRN 222039

    • (11)Employed By (23 Jan 2003 to 30 Sep 2014)
  • Denton Woodhouse Limited (no longer approved here)

    FRN 201800

    • (20)Employed By (1 Dec 2001 to 5 Dec 2002)

Recent activity

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

  1. controlled function added: (20)Employed By at Denton Woodhouse Limited