David Richard Little

Last updated
1 week ago
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Where they hold approval

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

  • HW Financial Services Limited

    FRN 134190

    • 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)
    • [FCA CF] Client dealing (since 19 May 2025)
    • [FCA CF] Functions requiring qualifications (since 19 May 2025)
  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 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)
    • [FCA CF] Client dealing (since 19 May 2025)
    • [FCA CF] Functions requiring qualifications (since 19 May 2025)
  • Seven Investment Management LLP (no longer approved here)

    FRN 589124

    • [FCA CF] Client dealing (8 Nov 2024 to 29 Apr 2025)
    • [FCA CF] Functions requiring qualifications (13 Feb 2024 to 29 Apr 2025)
  • 7IM Investment and Retirement Solutions Limited (no longer approved here)

    FRN 787394

    • [FCA CF] Functions requiring qualifications (7 Apr 2022 to 29 Apr 2025)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (1 Dec 2018 to 14 Aug 2019)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (1 Dec 2018 to 14 Aug 2019)

Recent activity

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

No changes recorded yet.