David Marcus Phillips Maisey

Last updated
2 weeks ago
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Where they hold approval

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

  • KD Wright Financial Services Limited

    FRN 509886

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsibility for MCD Intermediation (since 6 Mar 2020)
    • Responsible for Insurance Distribution (since 6 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • [FCA CF] Manager of certification employee (since 19 Feb 2020)
    • [FCA CF] Client dealing (since 19 Feb 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [PRA CF] Key function holder (19 Feb 2020 to 6 May 2021)
    • [FCA CF] CASS oversight function (19 Feb 2020 to 6 May 2021)
    • [FCA CF] Significant management (19 Feb 2020 to 6 May 2021)
    • CF11 Money Laundering Reporting (11 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Jan 2010 to 8 Dec 2019)
    • CF1 Director (29 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (29 Jan 2010 to 8 Dec 2019)
  • K.D.Wright Financial Services Ltd (no longer approved here)

    FRN 200752

    • Employed By (30 Jan 2009 to 31 Dec 2009)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Supreme Wealth Management (no longer approved here)

    FRN 144732

    • CF21 Investment Adviser (27 Sep 2005 to 13 Apr 2006)
    • CF24 Pension Transfer Specialist (15 Feb 2002 to 13 Apr 2006)
  • Patterson Maisey Financial Services (no longer approved here)

    FRN 200753

    • (1)Employed By (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

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