Dale Keith Wiseman

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Succession Financial Management Limited

    FRN 225831

    • 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)
    • [FCA CF] Client dealing (since 4 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Jan 2024)
  • SUCCESSION WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 588378

    • [FCA CF] Client dealing (4 Jan 2024 to 21 Apr 2026)
    • [FCA CF] Functions requiring qualifications (4 Jan 2024 to 21 Apr 2026)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Jun 2023)
    • CF30 Customer (19 Nov 2012 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (4 Nov 2010 to 20 Sep 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (28 Apr 2008 to 30 Sep 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 4 Apr 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.