David Kirkpatrick

Last updated
2 days ago
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Where they hold approval

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

  • David Kirkpatrick Associates

    FRN 456832

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • Sole trader dealing with clients for which they require qualification (since 7 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (22 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF8 Apportionment and Oversight (10 Nov 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (10 Nov 2006 to 22 Feb 2013)
    • CF7 Sole Trader (10 Nov 2006 to 31 Jan 2007)
    • CF21 Investment Adviser (10 Nov 2006 to 31 Oct 2007)
  • David Kirkpatrick Associates (no longer approved here)

    FRN 210236

    • Employed By (11 Mar 2002 to 12 Nov 2006)

Recent activity

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

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