David Hughes

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.

  • Rutherford Hughes Limited

    FRN 807675

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (23 Aug 2018 to 30 Sep 2018)
    • CF1 Director (23 Aug 2018 to 8 Dec 2019)
    • SMF16 Compliance Oversight (1 Jun 2018 to 1 Jun 2018)
    • SIMF1 Chief Executive Function (1 Jun 2018 to 1 Jun 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (31 Jan 2017 to 22 Aug 2018)
    • CF30 Customer (31 Jan 2017 to 22 Aug 2018)
  • Rutherford Hughes Ltd (no longer approved here)

    FRN 769991

    • Employed By (31 Jan 2017 to 22 Aug 2018)
  • Three Counties Limited (no longer approved here)

    FRN 145005

    • CF1 Director (17 Sep 2015 to 18 Jan 2017)
    • CF3 Chief Executive (17 Sep 2015 to 18 Jan 2017)
    • CF30 Customer (14 Sep 2015 to 18 Jan 2017)
  • Universal Tax & Wealth LLP (no longer approved here)

    FRN 600488

    • Employed By (11 Jun 2014 to 7 Sep 2016)
  • THE RISK FACTOR LIMITED (no longer approved here)

    FRN 306929

    • CF1 Director (18 Jan 2013 to 22 Feb 2013)

Recent activity

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

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