David Paul Moss

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.

  • Oakfield Financial Services Limited

    FRN 223774

    • 21. Advising or arranging (bringing about) equity release transactions
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 7 Jul 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (7 Sep 2010 to 5 Aug 2013)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (9 Aug 2013 to 11 Jul 2014)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (633)Employed By (9 Aug 2013 to 11 Jul 2014)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (12 Oct 2009 to 20 Nov 2009)

Recent activity

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

No changes recorded yet.