David Paul Agg

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.

  • HUMPHRIES IFA LIMITED

    FRN 444484

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2022)
    • [FCA CF] Client dealing (since 25 Mar 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 8 Oct 2021)
    • CF30 Customer (26 Mar 2010 to 8 Oct 2021)
    • CF1 Director (AR) (26 Mar 2010 to 8 Oct 2021)
  • Adastrum Limited (no longer approved here)

    FRN 520986

    • Employed By (26 Mar 2010 to 8 Oct 2021)
  • Adaurum Limited (no longer approved here)

    FRN 402746

    • CF30 Customer (1 Nov 2007 to 26 Mar 2010)
    • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)

Recent activity

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

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