Andy Spriggs

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.

  • WISER WEALTH LTD

    FRN 528681

    • 13. Giving personal recommendations on and dealing with derivatives
    • 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
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Oct 2022)
    • [FCA CF] Client dealing (since 16 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (5 Nov 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Nov 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Nov 2010 to 8 Dec 2019)
    • CF30 Customer (5 Nov 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Nov 2010 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 30 Dec 2010)
    • CF21 Investment Adviser (18 Feb 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Sep 2004 to 18 Feb 2005)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF7 Sole Trader (AR) (1 Dec 2001 to 29 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 29 Oct 2004)

Recent activity

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

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