David George Lewis

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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] Client dealing (since 29 May 2020)
    • [FCA CF] Functions requiring qualifications (since 29 May 2020)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (15 Apr 2015 to 18 Jan 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (1 Apr 2011 to 30 Sep 2016)
    • CF30 Customer (1 Apr 2011 to 28 Dec 2012)
  • Riverside Financial Group Ltd (no longer approved here)

    FRN 539600

    • Employed By (1 Apr 2011 to 30 Sep 2016)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (23 Feb 2009 to 11 Apr 2011)
  • Abbey Lane Associates Ltd (no longer approved here)

    FRN 182234

    • (19)Employed By (23 Feb 2009 to 11 Apr 2011)
  • Stonehouse Financial Services Ltd (no longer approved here)

    FRN 454859

    • CF30 Customer (1 Nov 2007 to 4 Dec 2008)
    • CF8 Apportionment and Oversight (18 Oct 2006 to 4 Dec 2008)
    • CF21 Investment Adviser (18 Oct 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (18 Oct 2006 to 4 Dec 2008)
    • CF1 Director (18 Oct 2006 to 4 Dec 2008)
    • Responsible for Insurance Mediation (17 Oct 2006 to 4 Dec 2008)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

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