David McCartney

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.

  • Langholm Dalton LLP

    FRN 485835

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (since 2 Jan 2009)
    • CF1 Director (AR) (since 2 Jan 2009)
    • CF10 Compliance Oversight (2 Jan 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2009 to 8 Dec 2019)
    • CF4 Partner (2 Jan 2009 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 7 Dec 2008)
    • CF1 Director (AR) (5 Jan 2005 to 7 Dec 2008)
    • CF21 Investment Adviser (5 Jan 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.