Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
DAVID WILLIAMS I F A LIMITED
FRN 530750
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 14. Managing investments
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (3 Dec 2018 to 8 Dec 2019)
-
- CF30 Customer (8 Dec 2016 to 11 Dec 2018)
-
- CF1 Director (AR) (3 Feb 2016 to 3 Sep 2018)
-
- CF30 Customer (23 Dec 2014 to 29 Jan 2016)
- CF1 Director (AR) (23 Dec 2014 to 29 Jan 2016)
-
- CF1 Director (AR) (17 Dec 2012 to 15 Jan 2015)
-
- CF30 Customer (25 Jun 2010 to 25 Oct 2012)
- CF21 Investment Adviser (25 Sep 2006 to 16 Apr 2007)
- CF22 Investment Adviser (Trainee) (27 Jan 2003 to 27 Jan 2003)
-
- CF30 Customer (27 Feb 2009 to 14 May 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.