David Charles Roberts

Last updated
3 weeks ago
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Where they hold approval

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

  • Oakworth Financial Planning Limited

    FRN 229355

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
  • Oakworth Consultancy Services Limited 1983 (no longer approved here)

    FRN 173360

    • (5)Employed By (1 Dec 2001 to 6 Jan 2004)

Recent activity

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

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