David Leslie Golding

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.

  • A&E Wealth Solutions Limited

    FRN 813553

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 20 Dec 2018)
    • Responsible for Insurance Distribution (since 20 Dec 2018)
    • CF11 Money Laundering Reporting (20 Dec 2018 to 8 Dec 2019)
    • CF1 Director (20 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (20 Dec 2018 to 8 Dec 2019)
  • Charterhall Associates Limited (no longer approved here)

    FRN 431577

    • CF30 Customer (16 Apr 2013 to 30 Mar 2017)
    • CF21 Investment Adviser (6 Jun 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.