David Lamb

Last updated
1 week ago
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Where they hold approval

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

  • LAMB & ASSOCIATES INDEPENDENT FINANCIAL PLANNING LIMITED

    FRN 782092

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
    • CF1 Director (1 Sep 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2017 to 30 Sep 2018)
  • Lamb & Associates Independent Financial Planning Limited (no longer approved here)

    FRN 165570

    • (9)Employed By (1 Oct 1998 to 22 Oct 2014)

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

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