David Andrew Nichol

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Lowland Financial Services Limited

    FRN 202359

    • 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)
    • Responsibility for MCD Intermediation (since 5 Dec 2024)
    • [FCA CF] Manager of certification employee (since 9 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Jul 2022)
    • SMF16 Compliance Oversight (since 18 Jul 2022)
    • SMF3 Executive Director (since 18 Jul 2022)
    • Responsible for Insurance Distribution (since 18 Jul 2022)
    • [FCA CF] Client dealing (since 2 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • PLAN SMART FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 625144

    • CF30 Customer (20 Oct 2022 to 25 Oct 2024)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (14 Aug 2013 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (14 May 2008 to 22 May 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 23 Apr 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.