Alun Roy Davies

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.

  • Best Practice IFA Group Limited

    FRN 223112

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 9A. Advising on P2P agreements
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 31 Dec 2025)
    • Appointed representative dealing with clients for which they require qualification (since 31 Dec 2025)
    • CF1 Director (AR) (since 9 Oct 2025)
    • CF30 Customer (since 9 Oct 2025)
  • Prism Wealth Management Ltd

    FRN 1042389

    • (3)Employed By (since 9 Oct 2025)
  • Oculus Wealth Management Limited

    FRN 605985

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 23 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 23 Aug 2023)
    • [FCA CF] Client dealing (since 23 Aug 2023)
    • CF1 Director (AR) (since 10 Jul 2023)
    • CF30 Customer (since 10 Jul 2023)
  • Oculus Wealth Management (Bishop's Stortford) Limited

    FRN 991975

    • (1)Employed By (since 10 Jul 2023)
  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • [FCA CF] Functions requiring qualifications (11 Apr 2022 to 1 Jan 2023)
    • [FCA CF] Client dealing (11 Apr 2022 to 1 Jan 2023)
    • CF30 Customer (6 Nov 2014 to 6 Apr 2016)
  • SUCCESSION WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 588378

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2023)
    • CF30 Customer (6 Nov 2014 to 8 Dec 2019)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 2 Jul 2012)

Recent activity

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

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