Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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David Booler & Company
FRN 146287
- 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)
- CF1 Director (AR) (since 6 Apr 2022)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF30 Customer (since 24 Nov 2010)
- CF4 Partner (20 Oct 2016 to 8 Dec 2019)
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RWB Wealth Management Limited
FRN 957864
- (4)Employed By (since 7 Sep 2021)
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David Booler SIPP Trustees Limited
FRN 465550
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (20 Oct 2016 to 8 Dec 2019)
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Nicholsons PSP Limited
FRN 223754
- (8)Employed By (since 9 Feb 2019)
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Ballards FS Limited
FRN 224308
- (9)Employed By (since 9 Feb 2019)
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Ruthlyn House Wealth Management Limited
FRN 439964
- (11)Employed By (since 9 Feb 2019)
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- (8)Employed By (since 9 Feb 2019)
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B W Financial Services Limited
FRN 189042
- (4)Employed By (since 24 Oct 2016)
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- Employed By (9 Feb 2019 to 8 Feb 2023)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Vaughan Davies & Co (Pensions & Investments) Limited
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controlled function added: (8)Employed By at Vaughan Davies & Co (Pensions & Investments) Limited
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controlled function removed: Employed By at RWB Wealth Management Limited
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controlled function added: (4)Employed By at RWB Wealth Management Limited
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controlled function removed: Employed By at Ruthlyn House Wealth Management Limited
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controlled function added: (11)Employed By at Ruthlyn House Wealth Management Limited
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controlled function removed: Employed By at Nicholsons PSP Limited
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controlled function added: (8)Employed By at Nicholsons PSP Limited
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controlled function removed: Employed By at Ballards FS Limited
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controlled function added: (9)Employed By at Ballards FS Limited