David Frederick Charles Glasgow

Last updated
1 week ago
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Where they hold approval

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

  • DG Financial Wealth Ltd

    FRN 918826

    • 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] Functions requiring qualifications (since 5 Nov 2020)
    • Responsible for Insurance Distribution (since 5 Nov 2020)
    • SMF16 Compliance Oversight (since 5 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Nov 2020)
    • SMF3 Executive Director (since 5 Nov 2020)
    • [FCA CF] Client dealing (since 5 Nov 2020)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Nov 2020)
    • CF1 Director (AR) (29 Mar 2017 to 3 Nov 2020)
    • CF30 Customer (29 Mar 2017 to 3 Nov 2020)
  • DG Financial Wealth Ltd (no longer approved here)

    FRN 470664

    • Employed By (13 Jan 2015 to 3 Nov 2020)
  • Roger Gillespie (no longer approved here)

    FRN 188978

    • (2)Employed By (20 Dec 2012 to 3 Nov 2020)

Recent activity

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