David Alan Griffiths

Watch for changes

Where they hold approval

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

Corbel Partners Limited (no longer approved here)
FRN 429142
- CF30 Customer (11 May 2012 to 18 Jun 2012)
Teachers Financial Planning Limited (no longer approved here)
FRN 552276
- Employed By (11 May 2012 to 18 Jun 2012)
KEYSTONE FINANCIAL LIMITED (no longer approved here)
FRN 501917
- CF30 Customer (6 Jan 2010 to 27 Dec 2011)
Pi Financial Ltd (no longer approved here)
FRN 186419
- CF30 Customer (11 Jan 2008 to 24 Dec 2009)
Portal Financial Management Ltd (no longer approved here)
FRN 472293
- (1)Employed By (11 Jan 2008 to 6 Jun 2008)
RLUM Limited (no longer approved here)
FRN 144032
- CF30 Customer (1 Nov 2007 to 2 Nov 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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.