Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Dartington Wealth Management Limited
FRN 717593
- 11. Pension transfer specialist
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not 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)
- SMF1 Chief Executive (since 16 Oct 2023)
- [FCA CF] Manager of certification employee (since 1 Jul 2023)
- [FCA CF] CASS oversight function (since 1 Jul 2023)
- [FCA CF] Significant management (since 1 Nov 2022)
- [FCA CF] Client dealing (since 1 Jul 2021)
- [PRA CF] Key function holder (since 1 Jun 2021)
- [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
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- CF30 Customer (22 Aug 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.