Andrew Peter Lucas

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.

  • ANDREW LUCAS WEALTH MANAGEMENT LIMITED

    FRN 830372

    • 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 8 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 9 Jul 2019)
    • CF10 Compliance Oversight (9 Jul 2019 to 8 Dec 2019)
    • CF1 Director (9 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (9 Jul 2019 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (11 May 2017 to 3 Jul 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (3 Sep 2008 to 21 Mar 2017)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (669)Employed By (3 Sep 2008 to 21 Mar 2017)
  • Thornton Claverley Independent Financial Advisers Limited (no longer approved here)

    FRN 192112

    • (6)Employed By (12 Oct 2002 to 26 Aug 2003)
  • Sterling Independent Financial Advisers Ltd (414) (no longer approved here)

    FRN 195718

    • Employed By (1 Dec 2001 to 12 Oct 2002)

Recent activity

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

  1. controlled function removed: Employed By at Thornton Claverley Independent Financial Advisers Limited

  2. controlled function added: (6)Employed By at Thornton Claverley Independent Financial Advisers Limited