David Bates

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.

  • Roger T Hulme Limited

    FRN 149922

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Client dealing (since 6 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2022)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (16 Apr 2020 to 1 Dec 2021)
    • CF30 Customer (15 Apr 2020 to 1 Dec 2021)
  • Kind Wealth Ltd (no longer approved here)

    FRN 604355

    • (5)Employed By (15 Apr 2020 to 1 Dec 2021)

Recent activity

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

  1. controlled function removed: Employed By at Kind Wealth Ltd

  2. controlled function added: (5)Employed By at Kind Wealth Ltd