David Glyn Evans

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.

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 13 Nov 2023)
    • [FCA CF] Functions requiring qualifications (since 13 Nov 2023)
  • HAWKSMOOR INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 472929

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Apr 2023)
    • SMF3 Executive Director (9 Dec 2019 to 14 Jul 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2023)
    • CF1 Director (7 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (28 Oct 2015 to 8 Dec 2019)

Recent activity

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

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