David James Bragg

Last updated
6 days ago
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Where they hold approval

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

  • D Bragg Financial Solutions Ltd

    FRN 927912

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF16 Compliance Oversight (since 1 Dec 2020)
    • Responsible for Insurance Distribution (since 1 Dec 2020)
    • Responsibility for MCD Intermediation (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF3 Executive Director (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2020)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Dec 2020)
    • CF30 Customer (28 Oct 2013 to 1 Dec 2020)
    • CF1 Director (AR) (28 Oct 2013 to 1 Dec 2020)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (28 Oct 2013 to 1 Dec 2020)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 30 Oct 2013)
    • CF22 Investment Adviser (Trainee) (9 Aug 2007 to 31 Oct 2007)
    • CF1 Director (AR) (29 Mar 2006 to 30 Oct 2013)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (18 Apr 2005 to 26 Sep 2005)
    • CF1 Director (AR) (20 May 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (20 May 2003 to 18 Apr 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (18 Apr 2005 to 21 Aug 2007)
    • CF22 Investment Adviser (Trainee) (20 May 2003 to 18 Apr 2005)
    • CF1 Director (AR) (20 May 2003 to 21 Aug 2007)
  • One2One Financial Planning Ltd (no longer approved here)

    FRN 224880

    • Employed By (20 May 2003 to 21 Aug 2007)

Recent activity

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

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