David Dempsey

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.

  • David Dempsey

    FRN 569153

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Sole trader dealing with clients for which they require qualification (since 23 Mar 2021)
    • SMF16 Compliance Oversight (since 8 Apr 2020)
    • Responsibility for MCD Intermediation (since 10 Mar 2020)
    • Responsible for Insurance Distribution (since 10 Mar 2020)
    • [FCA CF] Functions requiring qualifications (23 Mar 2021 to 25 Mar 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 20 Sep 2010)
    • CF1 Director (AR) (29 May 2007 to 19 Aug 2011)
    • CF22 Investment Adviser (Trainee) (29 May 2007 to 31 Oct 2007)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (29 May 2007 to 19 Aug 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (21 Mar 2006 to 4 Jul 2007)
    • CF1 Director (AR) (9 Mar 2005 to 4 Jul 2007)
    • CF22 Investment Adviser (Trainee) (9 Mar 2005 to 21 Mar 2006)

Recent activity

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

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