David Alexander Allen

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.

  • WEALTHCARE MANAGEMENT LIMITED (no longer approved here)

    FRN 629975

    • [FCA CF] Client dealing (3 Mar 2021 to 19 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Apr 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Apr 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Aug 2022)
    • SMF3 Executive Director (9 Dec 2019 to 19 Aug 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 13 Apr 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Apr 2022)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2014 to 30 Sep 2018)
  • Brimmond Financial Management Ltd (no longer approved here)

    FRN 602001

    • SMF3 Executive Director (6 Nov 2020 to 28 Mar 2022)
    • [FCA CF] Functions requiring qualifications (6 Nov 2020 to 28 Mar 2022)
    • Responsibility for MCD Intermediation (6 Nov 2020 to 28 Mar 2022)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (12 Nov 2010 to 2 Jan 2013)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Jul 2010 to 9 Nov 2010)
  • Ledingham Chalmers Financial Limited (no longer approved here)

    FRN 196274

    • CF30 Customer (1 Nov 2007 to 28 Apr 2010)
    • Responsible for Insurance Mediation (14 Feb 2005 to 28 Apr 2010)
    • CF1 Director (1 Dec 2004 to 28 Apr 2010)
    • CF10 Compliance Oversight (1 Dec 2004 to 28 Apr 2010)
    • CF8 Apportionment and Oversight (1 Dec 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2004 to 28 Apr 2010)

Recent activity

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

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