David Anthony Gunning

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.

  • Wealth & Prosperity Ltd

    FRN 700077

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 22 Oct 2020)
    • [FCA CF] Client dealing (since 22 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 22 Oct 2020)
    • Responsibility for MCD Intermediation (since 7 Feb 2020)
    • SMF3 Executive Director (since 7 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Feb 2020)
    • SMF16 Compliance Oversight (since 7 Feb 2020)
    • Responsible for Insurance Distribution (since 7 Feb 2020)
    • CF30 Customer (since 26 Jul 2019)
    • [FCA CF] Manager of certification employee (22 Oct 2020 to 30 Mar 2021)
    • [PRA CF] Key function holder (22 Oct 2020 to 30 Mar 2021)
    • [FCA CF] CASS oversight function (22 Oct 2020 to 30 Mar 2021)
    • [FCA CF] Significant management (22 Oct 2020 to 30 Mar 2021)
  • Denton Woodhouse Limited

    FRN 201800

    • (2)Employed By (since 17 Jul 2013)
    • (21)Employed By (6 Aug 2009 to 30 Dec 2012)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (10 Aug 2009 to 30 Dec 2012)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Aug 2007)
  • BRUCE & CO LEGAL & FINANCIAL LTD. (no longer approved here)

    FRN 441383

    • CF30 Customer (1 Nov 2007 to 24 Jul 2009)
    • CF21 Investment Adviser (25 Jun 2007 to 31 Oct 2007)

Recent activity

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

  1. controlled function removed: Employed By at Denton Woodhouse Limited

  2. controlled function added: (21)Employed By at Denton Woodhouse Limited

  3. controlled function added: (2)Employed By at Denton Woodhouse Limited