Andrew John Wetherell

Last updated
1 week ago
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Where they hold approval

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

  • A W Financial Services Limited

    FRN 912675

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2020)
    • [FCA CF] Client dealing (since 5 Nov 2020)
    • Responsibility for MCD Intermediation (since 1 Apr 2020)
    • SMF16 Compliance Oversight (since 1 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2020)
    • SMF3 Executive Director (since 1 Apr 2020)
    • Responsible for Insurance Distribution (since 1 Apr 2020)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (4 Mar 2002 to 1 Nov 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Mar 2002)
  • Echelon Financial Management Stanley Ltd (no longer approved here)

    FRN 200743

    • (5)Employed By (1 Dec 2001 to 1 Nov 2003)

Recent activity

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

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