Iain Charles Andrews

Last updated
1 week ago
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Where they hold approval

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

  • ADVANTA WEALTH (SOUTH WEST) LTD

    FRN 677869

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (12 Jan 2021 to 9 Dec 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 9 Dec 2025)
    • CF10 Compliance Oversight (16 Nov 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Nov 2015 to 30 Sep 2018)
    • CF30 Customer (16 Nov 2015 to 8 Dec 2019)
    • CF1 Director (16 Nov 2015 to 8 Dec 2019)
  • Investacc Limited (no longer approved here)

    FRN 154918

    • CF30 Customer (5 Mar 2013 to 26 Jul 2017)
    • CF1 Director (AR) (5 Mar 2013 to 26 Jul 2017)
  • Thomas Westcott Financial Management Ltd (no longer approved here)

    FRN 207990

    • Employed By (5 Mar 2013 to 8 Dec 2019)
  • Albert Goodman Financial Planning Limited (no longer approved here)

    FRN 148300

    • CF1 Director (AR) (25 Oct 2011 to 9 Nov 2011)
    • CF30 Customer (22 Mar 2010 to 28 Feb 2013)
  • GL Financial Planning Limited (no longer approved here)

    FRN 565104

    • Employed By (25 Oct 2011 to 28 Feb 2013)
  • Liverpool Victoria Financial Services Limited (no longer approved here)

    FRN 110035

    • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2002)
  • Liverpool Victoria Life Company Limited (no longer approved here)

    FRN 110423

    • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2002)

Recent activity

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

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