David Kevin Parnell

Last updated
3 weeks ago
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Where they hold approval

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

  • DP's Financial Advice & Services

    FRN 222166

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jul 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jul 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jul 2003 to 31 Oct 2007)
    • CF4 Partner (2 Jul 2003 to 8 Dec 2019)
  • Regency Financial Management (no longer approved here)

    FRN 185957

    • (11)Employed By (15 May 2002 to 13 Nov 2002)
  • DP's Financial Advice & Services (2927) (no longer approved here)

    FRN 190582

    • (2)Employed By (1 Dec 2001 to 4 Dec 2003)

Recent activity

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

No changes recorded yet.