Colin Stewart Davis

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.

  • LawlerDavis Independent Financial Planners Limited (no longer approved here)

    FRN 615491

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Aug 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Nov 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 3 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF22 Investment Adviser (Trainee) (31 Aug 2005 to 17 Apr 2006)
  • Simpsons Independent Financial Advisers Ltd (no longer approved here)

    FRN 232422

    • (7)Employed By (31 Aug 2005 to 17 Apr 2006)

Recent activity

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

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