Andrew Jonathan Tricker

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.

  • Lubbock Fine Wealth Management LLP

    FRN 707296

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2020)
    • [FCA CF] Manager of certification employee (since 6 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF10 Compliance Oversight (18 Jul 2018 to 8 Dec 2019)
    • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
  • MENZIES WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 486548

    • CF30 Customer (9 Mar 2009 to 18 Oct 2017)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 6 Mar 2009)
    • CF21 Investment Adviser (9 Nov 2004 to 31 Oct 2007)
  • Partridge Muir & Warren Limited (no longer approved here)

    FRN 148029

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)

Recent activity

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

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