David Graeme Ness

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.

  • Policy Services Limited (no longer approved here)

    FRN 214036

    • SMF3 Executive Director (9 Dec 2019 to 1 May 2020)
    • Responsible for Insurance Mediation (2 Jul 2008 to 21 Jun 2016)
    • CF8 Apportionment and Oversight (2 Jul 2008 to 31 Mar 2009)
    • CF10 Compliance Oversight (2 Jul 2008 to 18 Mar 2015)
    • CF11 Money Laundering Reporting (2 Jul 2008 to 18 Mar 2015)
    • CF30 Customer (1 Nov 2007 to 19 Feb 2016)
    • CF21 Investment Adviser (29 Sep 2006 to 31 Oct 2007)
    • CF1 Director (25 Oct 2002 to 8 Dec 2019)
  • David Ness (no longer approved here)

    FRN 416640

    • Employed By (8 Dec 2004 to 30 Aug 2006)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2006)

Recent activity

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

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