Andrew Sprague

Watch for changes

Where they hold approval

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

City Financial Planning (Exeter) Limited (no longer approved here)
FRN 460195
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2025)
- [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
CITY FINANCIAL PLANNING LIMITED (no longer approved here)
FRN 440633
- CF21 Investment Adviser (3 Jan 2006 to 22 Mar 2007)
Queensgate Independant Financial Advisors (no longer approved here)
FRN 176975
- (10)Employed By (22 Dec 2004 to 30 Dec 2005)
Wesleyan Assurance Society (no longer approved here)
FRN 110873
- CF21 Investment Adviser (1 Dec 2001 to 21 May 2004)
Wesleyan Unit Trust Managers Limited (no longer approved here)
FRN 175798
- CF21 Investment Adviser (1 Dec 2001 to 21 May 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.