Andrew Michael Brown

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.

  • ADVANTA WEALTH (SOUTH WEST) LTD

    FRN 677869

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 17 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Apr 2024)
    • CF11 Money Laundering Reporting (13 Jun 2017 to 8 Dec 2019)
    • CF1 Director (1 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
  • Albert Goodman Financial Planning Limited (no longer approved here)

    FRN 148300

    • CF1 Director (AR) (24 Oct 2011 to 1 Feb 2013)
    • CF30 Customer (1 Nov 2007 to 31 Oct 2016)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 25 Aug 2005)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 25 Aug 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 25 Aug 2005)
    • CF1 Director (1 Dec 2001 to 31 Oct 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • GL Financial Planning Limited (no longer approved here)

    FRN 565104

    • Employed By (24 Oct 2011 to 7 Jul 2016)

Recent activity

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

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