David Geoffrey Scott

Last updated
2 days ago
Watch for changes

Where they hold approval

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

  • D Scott Financial Limited

    FRN 934787

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2021)
    • SMF16 Compliance Oversight (since 1 Feb 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2021)
    • SMF3 Executive Director (since 1 Feb 2021)
    • [FCA CF] Client dealing (since 1 Feb 2021)
    • Responsibility for MCD Intermediation (since 1 Feb 2021)
    • Responsible for Insurance Distribution (since 1 Feb 2021)
  • David Scott (no longer approved here)

    FRN 540110

    • Employed By (28 Feb 2011 to 31 Jul 2015)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 10 Aug 2009)
    • CF21 Investment Adviser (12 Nov 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Nov 2002)

Recent activity

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

No changes recorded yet.