Andrew Thompson

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Where they hold approval

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

AB Investment Solutions Limited
FRN 705062
- SMF3 Executive Director (since 4 Jan 2021)
- [FCA CF] Client dealing (since 9 Dec 2020)
- [FCA CF] Significant management (since 9 Dec 2020)
Altium Investment Management Limited (no longer approved here)
FRN 931392
- [FCA CF] Client dealing (31 Mar 2021 to 18 Jul 2025)
- SMF3 Executive Director (4 Nov 2020 to 13 Feb 2025)
Oakham Wealth Management Ltd (no longer approved here)
FRN 431206
- CF30 Customer (7 Feb 2020 to 11 Jan 2021)
Alpha Beta Partners Limited (no longer approved here)
FRN 799887
- Employed By (7 Feb 2020 to 11 Jan 2021)
Waystone Management (UK) Limited (no longer approved here)
FRN 429093
- CF30 Customer (1 Feb 2018 to 8 Dec 2019)

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.