David James Kelly

Watch for changes

Where they hold approval

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

Affinity Financial Awareness Limited (no longer approved here)
FRN 409160
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2020)
- CF30 Customer (24 May 2017 to 8 Dec 2019)
Wealth At Work Limited (no longer approved here)
FRN 417367
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2020)
- CF30 Customer (24 May 2017 to 8 Dec 2019)
HW Financial Services Limited (no longer approved here)
FRN 134190
- CF30 Customer (31 Oct 2016 to 8 May 2017)
Evelyn Partners Financial Planning Limited (no longer approved here)
FRN 136414
- CF30 Customer (20 Jan 2016 to 8 May 2017)
Hargreaves Lansdown Advisory Services Limited (no longer approved here)
FRN 189627
- CF30 Customer (2 Jan 2013 to 26 Aug 2015)
Newcastle Financial Advisers Limited (no longer approved here)
FRN 222899
- (52)Employed By (26 Jun 2003 to 20 Oct 2004)
Forvis Mazars Financial Planning Limited (no longer approved here)
FRN 182644
- CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.