David George Dixson

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.

  • Alexander James Financial Planning Limited

    FRN 605325

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 20 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 20 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 17 Oct 2016)
    • CF11 Money Laundering Reporting (17 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
  • Mortgage Advice Bureau Limited (no longer approved here)

    FRN 455545

    • CF1 Director (AR) (8 Nov 2013 to 28 Nov 2013)
  • Mortgage Advice Bureau (Derby) Limited (no longer approved here)

    FRN 466154

    • CF1 Director (AR) (8 Nov 2013 to 28 Nov 2013)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (3 Jan 2012 to 25 Apr 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (24 Dec 2009 to 28 Dec 2011)

Recent activity

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

No changes recorded yet.