Andrew John Simpson

• Cobalt Wealth Limited

  FRN 800434

  • 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)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
  • CF1 Director (1 Jun 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (1 Jun 2018 to 25 Feb 2020)
  • Responsible for Insurance Mediation (1 Jun 2018 to 30 Sep 2018)
• Quilter Financial Limited (no longer approved here)

  FRN 497604

  • CF1 Director (AR) (13 Nov 2014 to 1 Jun 2018)
  • CF30 Customer (7 Feb 2014 to 1 Jun 2018)
• Cobalt Wealth Limited (no longer approved here)

  FRN 649241

  • Employed By (16 Oct 2014 to 1 Jun 2018)
• Moneytree Wealth Management Ltd (no longer approved here)

  FRN 537029

  • (15)Employed By (7 Feb 2014 to 8 Dec 2019)
• Moneytree Financial Solutions Ltd (no longer approved here)

  FRN 530950

  • (13)Employed By (4 Nov 2010 to 31 Dec 2012)
• Maple Leaf Financial Services Limited (no longer approved here)

  FRN 215157

  • (25)Employed By (4 Jun 2008 to 7 Oct 2010)
• Openwork Limited (no longer approved here)

  FRN 408285

  • CF30 Customer (1 Nov 2007 to 7 Oct 2010)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)

No changes recorded yet.