Joe Dale Anderson

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.

  • Anderson Financial Limited

    FRN 509620

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (11 Jan 2010 to 8 Dec 2019)
    • CF1 Director (11 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (11 Jan 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jan 2010 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 25 Dec 2009)
    • CF1 Director (AR) (31 Aug 2004 to 25 Dec 2009)
    • CF7 Sole Trader (AR) (5 Feb 2003 to 31 Aug 2004)
    • CF21 Investment Adviser (5 Feb 2003 to 31 Oct 2007)
  • The Octavian Partnership (Anderson Financial Limited) (no longer approved here)

    FRN 222275

    • Employed By (5 Feb 2003 to 25 Dec 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 10 May 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF21 Investment Adviser (1 Dec 2001 to 10 May 2002)

Recent activity

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

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