David Andrew 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.

  • Acumen Pensions and Investments Limited

    FRN 915729

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 4 Nov 2021)
    • [FCA CF] Client dealing (since 4 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2021)
    • Responsibility for MCD Intermediation (since 30 Oct 2020)
    • SMF16 Compliance Oversight (since 1 Oct 2020)
    • Responsible for Insurance Distribution (since 1 Oct 2020)
    • SMF3 Executive Director (since 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
  • ACUMEN FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 583606

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Oct 2020)
    • SMF3 Executive Director (9 Dec 2019 to 7 Oct 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Oct 2020)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 7 Oct 2020)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2012 to 8 Dec 2019)
    • CF1 Director (1 Nov 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2012 to 30 Sep 2018)

Recent activity

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

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