Dave Martell

Last updated
3 weeks ago
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Where they hold approval

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

  • DML Financial Advisers

    FRN 232027

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 12 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (11 May 2004 to 31 Oct 2007)
    • CF3 Chief Executive (11 May 2004 to 8 Dec 2019)
    • CF4 Partner (11 May 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (11 May 2004 to 31 Mar 2009)
    • CF10 Compliance Oversight (11 May 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 May 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (11 May 2004 to 31 Oct 2007)

Recent activity

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

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