David Gerald Herbert

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Herbert Scott Ltd (no longer approved here)

    FRN 179810

    • Responsible for Insurance Distribution (18 Aug 2020 to 30 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Aug 2020 to 30 Jan 2023)
    • SMF16 Compliance Oversight (18 Aug 2020 to 30 Jan 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
    • SMF3 Executive Director (9 Dec 2019 to 1 Mar 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 26 Apr 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 26 Apr 2016)
    • CF10 Compliance Oversight (1 Dec 2001 to 26 Apr 2016)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • AVN Wealth Managers LLP (no longer approved here)

    FRN 491666

    • CF30 Customer (30 Oct 2009 to 30 Jul 2012)

Recent activity

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

No changes recorded yet.