David Alan Thompson

Last updated
1 week ago
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Where they hold approval

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

  • B-Advised Ltd

    FRN 846361

    • 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)
    • SMF3 Executive Director (since 11 May 2020)
    • [FCA CF] Functions requiring qualifications (since 11 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 May 2020)
    • Responsible for Insurance Distribution (since 11 May 2020)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (8 Apr 2011 to 11 May 2020)
    • CF30 Customer (1 Nov 2007 to 11 May 2020)
    • CF22 Investment Adviser (Trainee) (1 Dec 2006 to 31 Oct 2007)
    • CF4 Partner (AR) (1 Dec 2006 to 30 Mar 2011)
  • B-Advised Limited (no longer approved here)

    FRN 460404

    • Employed By (1 Dec 2006 to 11 May 2020)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (12 Mar 2002 to 7 May 2004)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (11 Nov 2002 to 7 May 2004)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 May 2004)

Recent activity

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

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