David Lloyd

Last updated
6 days ago
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Where they hold approval

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

  • LLOYD & CO. INS LTD

    FRN 930142

    • SMF3 Executive Director (since 15 Dec 2020)
    • SMF16 Compliance Oversight (5 Oct 2020 to 5 Oct 2020)
    • Responsible for Insurance Distribution (5 Oct 2020 to 5 Oct 2020)
  • LLOYD & CO. FINANCIAL PLANNING LTD

    FRN 548625

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (8 Aug 2019 to 8 Dec 2019)
    • CF1 Director (8 Aug 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (19 Sep 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 Sep 2011 to 30 Sep 2018)
  • Lloyd & Co. Employee Benefits Ltd

    FRN 830383

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 8 Aug 2019)
    • CF1 Director (8 Aug 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Aug 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Aug 2019 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (11 Jul 2011 to 1 Aug 2011)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (14 Jul 2009 to 29 Jul 2011)
  • Balmoral Associates (887) (no longer approved here)

    FRN 165683

    • Employed By (9 Jun 2008 to 30 Jul 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (14 Feb 2003 to 24 Nov 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 Feb 2003)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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