Andy King

Last updated
3 days ago
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Where they hold approval

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

  • Shackleton Advisers Limited

    FRN 163291

    • 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] Functions requiring qualifications (since 4 Apr 2025)
    • [FCA CF] Client dealing (since 4 Apr 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD

    FRN 631117

    • (41)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (42)4. Giving personal recommendations on retail investment products which are not broker funds
    • (39)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (40)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (38)CF30 Customer (25 Jun 2018 to 8 Dec 2019)
  • Apollo Private Wealth Ltd (no longer approved here)

    FRN 776254

    • (12)Employed By (23 May 2017 to 29 Jun 2018)
  • Clearwater Wealth Management (no longer approved here)

    FRN 401714

    • Employed By (7 Feb 2017 to 23 May 2017)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (24 Sep 2014 to 6 Mar 2016)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (30 Oct 2013 to 8 Aug 2014)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (20 Feb 2004 to 23 Apr 2004)
    • CF22 Investment Adviser (Trainee) (27 Feb 2003 to 20 Feb 2004)

Recent activity

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

  1. controlled function removed: Employed By at Apollo Private Wealth Ltd

  2. controlled function added: (12)Employed By at Apollo Private Wealth Ltd

  3. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function removed: [FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  5. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at ELLIS BATES WEALTH MANAGEMENT LTD

  6. controlled function removed: [FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  7. controlled function added: (38)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  8. controlled function added: (39)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  9. controlled function added: (40)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  10. controlled function added: (41)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at ELLIS BATES WEALTH MANAGEMENT LTD

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