David Norman

Last updated
3 weeks ago
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Where they hold approval

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

  • M&G Wealth Investments LLP (no longer approved here)

    FRN 229445

    • SMF1 Chief Executive (9 Dec 2019 to 27 Jun 2022)
    • SMF27 Partner (9 Dec 2019 to 27 Jun 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 27 Jun 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 27 Jun 2022)
    • CF3 Chief Executive (16 Apr 2012 to 8 Dec 2019)
    • CF4 Partner (9 Oct 2009 to 8 Dec 2019)
    • CF29 Significant management (9 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (9 Oct 2009 to 8 Dec 2019)
  • UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)

    FRN 114627

    • CF30 Customer (4 Dec 2008 to 10 Jan 2009)
    • CF1 Director (6 Aug 2008 to 17 Dec 2008)

Recent activity

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

No changes recorded yet.