David Peter Ginn

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • E.S.N Financial Services LLP

    FRN 825768

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
  • BV Services (no longer approved here)

    FRN 117954

    • CF30 Customer (29 Sep 2015 to 15 Jul 2019)
  • Scott and Casey Financial Management Limited (no longer approved here)

    FRN 213848

    • CF30 Customer (24 Jun 2015 to 30 Nov 2015)
    • CF21 Investment Adviser (18 Jul 2005 to 31 Oct 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (24 Jun 2004 to 13 Jul 2005)
    • CF22 Investment Adviser (Trainee) (16 Jan 2004 to 24 Jun 2004)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (24 Jun 2004 to 13 Jul 2005)
    • CF22 Investment Adviser (Trainee) (16 Jan 2004 to 24 Jun 2004)
  • Sound Financial Solutions Ltd (no longer approved here)

    FRN 231030

    • (7)Employed By (16 Jan 2004 to 13 Jul 2005)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 14 Nov 2003)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 14 Nov 2003)

Recent activity

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

  1. controlled function removed: Employed By at Sound Financial Solutions Ltd

  2. controlled function added: (7)Employed By at Sound Financial Solutions Ltd