David John Broadbent

Last updated
1 day ago
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Where they hold approval

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

  • True Potential Wealth Management LLP

    FRN 529810

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 17 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 17 Dec 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Dec 2025)
    • CF30 Customer (11 Aug 2016 to 28 Dec 2025)
  • David Broadbent (no longer approved here)

    FRN 755263

    • Employed By (11 Aug 2016 to 28 Dec 2025)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 17 Oct 2008)
    • CF21 Investment Adviser (25 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jan 2005 to 13 Sep 2005)
  • Croft Financial Services Limited (no longer approved here)

    FRN 182562

    • Employed By (10 Jan 2005 to 13 Sep 2005)

Recent activity

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

No changes recorded yet.