David Michael Goldman

Watch for changes

Where they hold approval

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

NOVION GLOBAL LTD
FRN 843506
- [FCA CF] Client dealing (since 13 Dec 2023)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (30 Jun 2009 to 21 Jul 2018)
TRADITION FINANCIAL SERVICES LTD. (no longer approved here)
FRN 147543
- CF30 Customer (26 Nov 2007 to 31 Mar 2008)
- CF21 Investment Adviser (25 Jun 2002 to 6 Dec 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.