David Hughes

Last updated
2 weeks ago
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Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Client dealing (since 9 Jan 2025)
    • [FCA CF] Manager of certification employee (since 9 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Jan 2025)
    • [FCA CF] Functions requiring qualifications (3 Jul 2020 to 1 Nov 2023)
    • CF30 Customer (12 Aug 2011 to 24 Nov 2016)
  • Broomfield & Alexander Wealth Management Ltd (no longer approved here)

    FRN 574362

    • Employed By (1 Jun 2012 to 24 Nov 2016)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (30 Mar 2011 to 1 Aug 2011)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (30 Mar 2011 to 1 Aug 2011)
  • Ashwood Law LLP (no longer approved here)

    FRN 544429

    • Employed By (30 Mar 2011 to 1 Aug 2011)
  • Milsted Langdon Financial Services Limited (no longer approved here)

    FRN 126457

    • CF30 Customer (20 Mar 2009 to 27 Apr 2009)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 23 Jul 2002)

Recent activity

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

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