David Paul Sargent

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.

  • Union Bancaire Privée (UK) Limited

    FRN 119250

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Client dealing (since 31 Jan 2019)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (14 May 2021 to 24 Dec 2024)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (1 Nov 2007 to 5 Apr 2013)
    • CF21 Investment Adviser (20 Nov 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 Nov 2002)

Recent activity

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

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