DANIEL JAMES HARVEY

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Where they hold approval

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

Daniel Harvey
FRN 951048
- 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)
- Sole trader dealing with clients for which they require qualification (since 16 Aug 2021)
- [FCA CF] Client dealing (since 16 Aug 2021)
Chadwicks Ltd (no longer approved here)
FRN 182094
- Employed By (19 Dec 2014 to 31 Aug 2015)
Redmayne-Bentley LLP (no longer approved here)
FRN 499510
- CF30 Customer (21 Oct 2013 to 21 Nov 2013)

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.