David Robert Burns

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.

  • Pool House Professional Advisers Limited

    FRN 303560

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 26 Oct 2016)
    • CF10 Compliance Oversight (11 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (11 Nov 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Nov 2014 to 8 Aug 2019)
    • Responsible for Insurance Mediation (11 Oct 2013 to 30 Sep 2018)
    • CF1 Director (11 Oct 2013 to 8 Dec 2019)
  • DRB ASSOCIATES LIMITED

    FRN 445657

    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (AR) (9 Feb 2012 to 13 Jul 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (13 Feb 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (13 Feb 2006 to 31 Mar 2009)
    • CF10 Compliance Oversight (13 Feb 2006 to 8 Dec 2019)
    • CF1 Director (13 Feb 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Feb 2006 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (13 Feb 2006 to 8 Aug 2019)
    • CF21 Investment Adviser (13 Feb 2006 to 31 Oct 2007)
  • Central Independent Financial Services Ltd (no longer approved here)

    FRN 179629

    • Employed By (13 Jan 2012 to 6 Jan 2017)
  • SECURE TRUST BANK PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 204550

    • CF24 Pension Transfer Specialist (1 Oct 2004 to 21 Apr 2006)
    • CF21 Investment Adviser (1 Oct 2004 to 21 Apr 2006)
    • CF1 Director (1 Oct 2004 to 21 Apr 2006)

Recent activity

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

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