David Griffiths

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Where they hold approval

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

GMT Financial Solutions Limited
FRN 457963
- SMF17 Money Laundering Reporting Officer (MLRO) (since 27 May 2020)
- [FCA CF] Significant management (since 6 Apr 2020)
- [FCA CF] Functions requiring qualifications (13 Dec 2021 to 19 Dec 2025)
- [FCA CF] Client dealing (13 Dec 2021 to 19 Dec 2025)
- [FCA CF] Manager of certification employee (6 Apr 2020 to 24 Jun 2021)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- Appointed representative dealing with clients for which they require qualification (16 Feb 2021 to 30 Nov 2021)
- CF30 Customer (19 Jan 2021 to 30 Nov 2021)
Specialist Trust Solutions LLP (no longer approved here)
FRN 401684
- (37)Employed By (19 Jan 2021 to 30 Nov 2021)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (19 Feb 2016 to 23 Jan 2017)
LB Financial Solutions Limited (no longer approved here)
FRN 581257
- Employed By (19 Feb 2016 to 23 Jan 2017)
Sandringham Financial Partners Limited (no longer approved here)
FRN 581304
- CF30 Customer (14 Jul 2014 to 31 Dec 2014)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.