Anthony John Dungworth

Last updated
2 days ago
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Where they hold approval

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

  • D & A Investments Partnership Limited

    FRN 761091

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Jan 2022)
    • CF1 Director (AR) (12 Feb 2018 to 19 Jan 2022)
    • CF1 Director (4 Jan 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2017 to 19 Jan 2022)
  • TLP Partnership Ltd (no longer approved here)

    FRN 755640

    • Employed By (11 Aug 2016 to 19 Jan 2022)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • CF1 Director (AR) (14 Oct 2013 to 2 Feb 2018)
    • CF30 Customer (14 Oct 2013 to 2 Feb 2018)
  • D & A PARTNERSHIP LIMITED (no longer approved here)

    FRN 605317

    • Employed By (14 Oct 2013 to 2 Feb 2018)

Recent activity

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

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