David Brown

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Age Partnership Limited
FRN 425432
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
Carl Summers Financial Services (no longer approved here)
FRN 214873
- Employed By (31 May 2013 to 11 Sep 2013)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (31 May 2013 to 11 Sep 2013)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (7 Jan 2005 to 2 Jun 2006)
- CF22 Investment Adviser (Trainee) (12 May 2004 to 7 Jan 2005)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.