David Frederick Sobey

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.

  • Midas Strategies (UK) LLP

    FRN 436840

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (13 Dec 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Dec 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Dec 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Dec 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (13 Dec 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (13 Dec 2005 to 30 Sep 2018)
  • Falcon Financial Advice Limited (no longer approved here)

    FRN 401814

    • (85)Employed By (7 Oct 2004 to 23 Sep 2005)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2005)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 23 Sep 2005)
  • Midas Strategies (no longer approved here)

    FRN 200715

    • (1)Employed By (16 Feb 2000 to 23 Sep 2005)

Recent activity

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

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