Andrew Robert Frame

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Alliance Financial Options Ltd

    FRN 918603

    • (8)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (5)Responsible for Insurance Distribution (10 Aug 2020 to 14 Apr 2026)
    • (7)SMF3 Executive Director (10 Aug 2020 to 14 Apr 2026)
    • (6)SMF16 Compliance Oversight (10 Aug 2020 to 14 Apr 2026)
    • (4)Responsibility for MCD Intermediation (10 Aug 2020 to 14 Apr 2026)
    • (9)[FCA CF] Functions requiring qualifications (20 Dec 2019 to 14 Apr 2026)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (27 Sep 2005 to 2 May 2006)
  • MCM Financial Management Ltd (no longer approved here)

    FRN 229118

    • Employed By (27 Sep 2005 to 2 May 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (24 Apr 2003 to 19 Dec 2003)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF22 Investment Adviser (Trainee) (10 Jun 2002 to 20 Dec 2002)

Recent activity

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

  1. controlled function removed: Responsibility for MCD Intermediation at Alliance Financial Options Ltd

  2. controlled function removed: Responsible for Insurance Distribution at Alliance Financial Options Ltd

  3. controlled function removed: SMF16 Compliance Oversight at Alliance Financial Options Ltd

  4. controlled function removed: SMF3 Executive Director at Alliance Financial Options Ltd

  5. controlled function removed: [FCA CF] Functions requiring qualifications at Alliance Financial Options Ltd

  6. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Alliance Financial Options Ltd

  7. controlled function added: (4)Responsibility for MCD Intermediation at Alliance Financial Options Ltd

  8. controlled function added: (5)Responsible for Insurance Distribution at Alliance Financial Options Ltd

  9. controlled function added: (6)SMF16 Compliance Oversight at Alliance Financial Options Ltd

  10. controlled function added: (7)SMF3 Executive Director at Alliance Financial Options Ltd

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