Mark David Firman- Andrews

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Heritage Coast Asset Management Limited

    FRN 809003

    • 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] 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 17 Dec 2018)
    • Responsible for Insurance Distribution (since 17 Dec 2018)
    • CF1 Director (17 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Dec 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (17 Dec 2018 to 8 Dec 2019)
  • PLS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 488254

    • CF30 Customer (18 Sep 2013 to 22 Nov 2018)
    • CF1 Director (AR) (18 Sep 2013 to 22 Nov 2018)
  • HUGHES FIRMAN OVEL ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 469482

    • CF30 Customer (1 Nov 2007 to 8 Jan 2013)
    • CF1 Director (13 Sep 2007 to 30 Nov 2012)
    • CF21 Investment Adviser (13 Sep 2007 to 31 Oct 2007)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (15 Dec 2003 to 6 Oct 2004)
    • CF22 Investment Adviser (Trainee) (4 Aug 2003 to 15 Dec 2003)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2003)

Recent activity

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

No changes recorded yet.