David Anthony Holder

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.

  • DAH FP Ltd

    FRN 782417

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 Nov 2017)
    • CF11 Money Laundering Reporting (1 Nov 2017 to 8 Dec 2019)
    • CF1 Director (1 Nov 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2017 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (26 Jan 2012 to 21 Dec 2017)
    • CF30 Customer (26 Jan 2012 to 21 Dec 2017)
  • DAH Financial Planning Limited (no longer approved here)

    FRN 571986

    • Employed By (26 Jan 2012 to 21 Dec 2017)

Recent activity

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

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