Andrew Sinclair Wallace

Last updated
2 weeks ago
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Where they hold approval

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

  • AFS Advocate Financial Services Limited

    FRN 602944

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 15 Aug 2016)
    • CF11 Money Laundering Reporting (11 Oct 2013 to 8 Dec 2019)
    • CF1 Director (11 Oct 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (11 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Oct 2013 to 30 Sep 2018)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (1 Nov 2007 to 10 Oct 2013)
    • CF21 Investment Adviser (24 Mar 2006 to 31 Oct 2007)
    • CF1 Director (AR) (22 Sep 2005 to 10 Oct 2013)
    • CF22 Investment Adviser (Trainee) (22 Sep 2005 to 24 Mar 2006)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF7 Sole Trader (AR) (6 Jul 2004 to 31 Dec 2004)
    • CF22 Investment Adviser (Trainee) (6 Jul 2004 to 20 Dec 2004)
  • Andrew Wallace (no longer approved here)

    FRN 401640

    • Employed By (6 Jul 2004 to 31 Dec 2004)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF22 Investment Adviser (Trainee) (13 Jan 2004 to 18 Jun 2004)

Recent activity

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

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