David Ronald Reed

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.

  • DRR Financial Consultants Limited

    FRN 697398

    • 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 1 Mar 2021)
    • 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] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (23 Sep 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 Sep 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Sep 2015 to 8 Dec 2019)
    • CF1 Director (23 Sep 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (23 Sep 2015 to 30 Sep 2018)
  • Carlton Asset Management Limited (no longer approved here)

    FRN 133693

    • CF29 Significant management (9 Jan 2013 to 18 May 2015)
    • CF30 Customer (9 Jan 2013 to 18 May 2015)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (22 Mar 2011 to 4 Sep 2012)

Recent activity

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

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