David James Firman

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.

  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (11 Sep 2017 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (8 Nov 2011 to 13 Sep 2017)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (13 May 2008 to 29 Oct 2011)
    • CF21 Investment Adviser (16 Sep 2005 to 7 Sep 2007)
    • CF22 Investment Adviser (Trainee) (12 Oct 2004 to 16 Sep 2005)

Recent activity

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

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