David Edward Mills

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.

  • PROTECTION & INVESTMENT LIMITED

    FRN 222993

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Manager of certification employee (since 9 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
    • [FCA CF] Client dealing (since 4 Dec 2023)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (8 Oct 2021 to 1 Dec 2023)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Nov 2023)
    • CF30 Customer (22 Jun 2009 to 1 Oct 2012)
    • CF4 Partner (AR) (14 Nov 2007 to 28 Jan 2022)
  • HL Partnership Limited (no longer approved here)

    FRN 303397

    • CF4 Partner (AR) (26 May 2006 to 21 Dec 2007)
  • Compass Personal Finance Ltd (no longer approved here)

    FRN 451927

    • Employed By (26 May 2006 to 1 Dec 2023)

Recent activity

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

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