David Brian Pegler

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.

  • Quartet Capital Partners LLP

    FRN 502242

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 19 May 2025)
    • [FCA CF] Client dealing (since 19 May 2025)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jan 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Jan 2026)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Jan 2026)
    • CF30 Customer (23 Apr 2015 to 8 Dec 2019)

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

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