David Adam Penny

Last updated
2 weeks ago
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Where they hold approval

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

  • INVEST SOUTHWEST LIMITED (no longer approved here)

    FRN 469547

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Dec 2023)
    • SMF3 Executive Director (9 Dec 2019 to 4 Oct 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Dec 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Dec 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 4 Oct 2022)
    • Responsibility for MCD Intermediation (3 May 2016 to 4 Oct 2022)
    • CF11 Money Laundering Reporting (6 Aug 2012 to 12 Dec 2014)
    • Responsible for Insurance Mediation (27 Jul 2012 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Aug 2007 to 31 Mar 2009)
    • CF1 Director (1 Aug 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2007 to 12 Dec 2014)
    • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (1 Dec 2001 to 22 Jul 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (1 Dec 2001 to 22 Jul 2005)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (31 Jan 2001 to 22 Jul 2005)

Recent activity

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

No changes recorded yet.