David John Waldron

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.

  • JPM Insurance Advisers Limited

    FRN 445837

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (29 Aug 2012 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (25 Oct 2010 to 28 Aug 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 9 Sep 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (22 Jun 2005 to 19 Aug 2005)
    • CF22 Investment Adviser (Trainee) (7 Jun 2004 to 22 Jun 2005)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (7 Jun 2004 to 22 Jun 2005)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (7 Jun 2004 to 19 Aug 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (14 May 2004 to 4 Jun 2004)
    • CF22 Investment Adviser (Trainee) (2 Dec 2002 to 14 May 2004)

Recent activity

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

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