David Pollard

Watch for changes

Where they hold approval

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

WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 134753
- CF30 Customer (1 Nov 2007 to 28 Feb 2013)
- CF21 Investment Adviser (15 May 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (8 Aug 2005 to 15 May 2006)
Northern Spire Limited (no longer approved here)
FRN 212906
- (1)Employed By (29 Sep 2004 to 31 Jul 2005)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.