David Peter Clarke

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.

  • Lord Clarke Limited

    FRN 542556

    • 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)
    • 11. Pension transfer specialist
    • Responsibility for MCD Intermediation (since 26 Jan 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF10 Compliance Oversight (13 Apr 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Apr 2012 to 8 Dec 2019)
    • CF1 Director (14 Mar 2012 to 8 Dec 2019)
    • CF30 Customer (22 Jun 2011 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 21 Jun 2011)
    • CF1 Director (AR) (1 Dec 2001 to 21 Jun 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.