David Henry George Prince

Last updated
3 weeks ago
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Where they hold approval

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

  • KW Wealth Planning Limited

    FRN 114694

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 12 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 12 Feb 2026)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (6 Jul 2020 to 22 Feb 2024)
    • CF30 Customer (18 Jun 2020 to 22 Feb 2024)
    • CF1 Director (AR) (18 Jun 2020 to 22 Feb 2024)
  • Fisher Investments Europe Limited (no longer approved here)

    FRN 191609

    • CF30 Customer (1 May 2008 to 18 Oct 2019)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (1 Feb 2008 to 15 Apr 2008)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (1 Nov 2007 to 7 Dec 2007)
    • CF21 Investment Adviser (16 Oct 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.