David Pritchard

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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
    • [FCA CF] Functions requiring qualifications (since 6 Feb 2026)
    • [FCA CF] Client dealing (since 6 Feb 2026)
  • APPLEWOOD INDEPENDENT LTD

    FRN 602237

    • 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 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (7 Oct 2013 to 8 Dec 2019)
    • CF1 Director (7 Oct 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Oct 2013 to 30 Sep 2018)
  • Applewood Independent Limited (no longer approved here)

    FRN 190150

    • (2)Employed By (1 Dec 2001 to 4 Oct 2013)

Recent activity

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

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