David Alan Bloxam

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.

  • Premier Financial Planning

    FRN 189446

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Dec 2019 to 8 Dec 2019)
    • CF4 Partner (27 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (19 Jun 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Mar 2004 to 31 Oct 2007)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF21 Investment Adviser (24 Oct 2002 to 10 Mar 2004)
    • CF22 Investment Adviser (Trainee) (2 Dec 2001 to 24 Oct 2002)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF21 Investment Adviser (24 Oct 2002 to 10 Mar 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 Oct 2002)

Recent activity

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

No changes recorded yet.