Daniel Gerald Faulkner

Watch for changes

Where they hold approval

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

Prospera Wealth Management LLP (no longer approved here)
FRN 677269
- (4)Employed By (24 Oct 2023 to 9 Oct 2024)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF4 Partner (AR) (5 Dec 2021 to 12 Sep 2022)
- Appointed representative dealing with clients for which they require qualification (29 Sep 2020 to 9 Oct 2024)
- CF30 Customer (26 Aug 2020 to 12 Sep 2022)
RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Dec 2019)
- CF30 Customer (8 Nov 2018 to 8 Dec 2019)
Rathbones Investment Management Limited (no longer approved here)
FRN 116316
- CF30 Customer (12 May 2008 to 6 Mar 2016)
Quilter Cheviot Limited (no longer approved here)
FRN 124259
- CF30 Customer (1 Nov 2007 to 8 Feb 2008)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.