Daniel Peter Appleton

Last updated
6 days ago
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Where they hold approval

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

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Nov 2025)
    • [FCA CF] Client dealing (since 7 Nov 2025)
  • Insight Financial Associates Limited

    FRN 458421

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Manager of certification employee (since 1 Jul 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (13 May 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
  • IFA FINANCIAL SERVICES (UK) LTD.

    FRN 447432

    • 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] Functions requiring qualifications (since 27 Apr 2023)
    • [FCA CF] Client dealing (since 27 Apr 2023)
  • Penvest Limited

    FRN 407889

    • 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)
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (27 Aug 2019 to 8 Dec 2019)
  • Insight Wealth Limited

    FRN 470603

    • 11. Pension transfer specialist
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (29 Jan 2019 to 8 Dec 2019)
  • D B Financial Management Limited

    FRN 522214

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • ROBERT GERRARD & WESTBROOK LIMITED (no longer approved here)

    FRN 188640

    • [FCA CF] Functions requiring qualifications (16 Dec 2020 to 19 Jan 2026)
    • [FCA CF] Client dealing (16 Dec 2020 to 19 Jan 2026)
    • CF30 Customer (1 Sep 2016 to 27 Sep 2018)

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

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