David Allan Finan

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Where they hold approval

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

David Allen Financial Services (Dalston) Limited (no longer approved here)
FRN 506138
- SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 30 Jun 2021)
- Responsible for Insurance Distribution (1 Oct 2018 to 30 Jun 2021)
- Responsibility for MCD Intermediation (29 Apr 2016 to 30 Jun 2021)
- CF30 Customer (9 Nov 2009 to 8 Dec 2019)
- Responsible for Insurance Mediation (9 Nov 2009 to 30 Sep 2018)
- CF11 Money Laundering Reporting (9 Nov 2009 to 8 Dec 2019)
- CF10 Compliance Oversight (9 Nov 2009 to 8 Dec 2019)
- CF1 Director (9 Nov 2009 to 8 Dec 2019)
DA Financial Services (Dalston) Limited (no longer approved here)
FRN 200402
- Employed By (4 Jun 2019 to 29 Jan 2020)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF22 Investment Adviser (Trainee) (26 Jan 2007 to 9 May 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.