David Jonathan Brown

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.

  • Partnership Financial Planning Limited (no longer approved here)

    FRN 544108

    • [FCA CF] Significant management (26 Feb 2021 to 27 Feb 2021)
    • Appointed representative dealing with clients for which they require qualification (26 Feb 2021 to 7 Oct 2022)
    • [PRA CF] Key function holder (26 Feb 2021 to 27 Feb 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Oct 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Oct 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Oct 2022)
    • CF1 Director (AR) (3 Jul 2013 to 22 Feb 2022)
    • CF30 Customer (1 Jul 2011 to 22 Feb 2022)
    • CF1 Director (1 Jul 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2011 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (23 Oct 2008 to 29 Jul 2011)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 29 Sep 2008)
    • CF21 Investment Adviser (11 Jan 2005 to 31 Oct 2007)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)

Recent activity

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

No changes recorded yet.