David George Williams

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.

  • David Williams Financial Solutions Limited

    FRN 922829

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsible for Insurance Distribution (since 15 Sep 2020)
    • SMF1 Chief Executive (since 15 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Sep 2020)
    • SMF16 Compliance Oversight (since 15 Sep 2020)
    • SMF3 Executive Director (since 15 Sep 2020)
    • Responsibility for MCD Intermediation (since 15 Sep 2020)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (3 Apr 2017 to 31 Jul 2017)
  • David Williams (no longer approved here)

    FRN 521159

    • Employed By (15 Apr 2010 to 14 Sep 2020)

Recent activity

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

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