Andrew Michael Stocker

Last updated
6 days ago
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Where they hold approval

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

  • AMS Wealth Management Ltd

    FRN 947426

    • 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 1 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2021)
    • SMF3 Executive Director (since 1 Nov 2021)
    • [FCA CF] Client dealing (since 1 Nov 2021)
    • Responsible for Insurance Distribution (since 1 Nov 2021)
    • SMF16 Compliance Oversight (since 1 Nov 2021)
  • THROGMORTON PRIVATE CAPITAL LIMITED (no longer approved here)

    FRN 431157

    • CF30 Customer (24 Jun 2009 to 10 Feb 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 26 Sep 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.