David Guest

Watch for changes

Where they hold approval

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

Key Retirement Solutions Limited (no longer approved here)
FRN 224987
- [FCA CF] Functions requiring qualifications (18 Jul 2022 to 31 Aug 2023)
- Appointed representative dealing with clients for which they require qualification (6 Jan 2020 to 31 Aug 2023)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (24 Jun 2014 to 1 Jun 2015)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (17 Feb 2004 to 22 Feb 2007)
- CF22 Investment Adviser (Trainee) (27 Sep 2002 to 17 Feb 2004)

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.