David Francis Bates

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Feb 2024)
    • CF30 Customer (since 5 May 2023)
    • CF1 Director (AR) (since 5 May 2023)
  • Bates Wealth Management Ltd

    FRN 994865

    • Employed By (since 5 May 2023)
  • Bartlett Wealth Management Ltd (no longer approved here)

    FRN 114800

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jun 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jun 2023)
    • SMF3 Executive Director (9 Dec 2019 to 2 Jun 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Jun 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jun 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jun 2023)
    • CF11 Money Laundering Reporting (9 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 May 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Feb 2013 to 30 Sep 2018)
    • CF1 Director (10 Nov 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (5 Dec 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (23 Jun 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Aug 2004 to 23 Jun 2005)

Recent activity

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

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