David Andrew Hawley

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.

  • Slater Financial Limited

    FRN 528286

    • 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)
    • [FCA CF] Functions requiring qualifications (since 25 Jun 2021)
    • [FCA CF] Client dealing (since 25 Jun 2021)
  • Lord Clarke Limited (no longer approved here)

    FRN 542556

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
    • CF30 Customer (3 Jan 2019 to 8 Dec 2019)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (14 May 2010 to 31 Jan 2013)

Recent activity

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

No changes recorded yet.