David John Heaton

Watch for changes

Where they hold approval

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

NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (4 Dec 2009 to 28 Jun 2012)
Nationwide Building Society (no longer approved here)
FRN 106078
- CF30 Customer (4 Mar 2009 to 2 Oct 2009)
Elevate Portfolio Services Limited (no longer approved here)
FRN 144849
- CF21 Investment Adviser (31 Mar 2004 to 1 Jun 2004)
- CF22 Investment Adviser (Trainee) (23 May 2003 to 31 Mar 2004)
Aviva Administration Limited (no longer approved here)
FRN 185746
- CF21 Investment Adviser (31 Mar 2004 to 1 Jun 2004)
- CF22 Investment Adviser (Trainee) (23 May 2003 to 31 Mar 2004)
Staffordshire Financial Services Ltd (no longer approved here)
FRN 210725
- Employed By (23 May 2003 to 1 Jun 2004)

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.