David Samuel Wood

Last updated
6 days ago
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Where they hold approval

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

  • Wood Kirkbride Independent Financial Advisers Limited

    FRN 938688

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
    • [FCA CF] Client dealing (since 12 Jul 2021)
    • Responsible for Insurance Distribution (since 14 Jun 2021)
    • Responsibility for MCD Intermediation (since 14 Jun 2021)
    • SMF16 Compliance Oversight (since 14 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jun 2021)
    • SMF3 Executive Director (since 14 Jun 2021)
  • Birchwood Independent Financial Advisers Ltd (no longer approved here)

    FRN 194580

    • Employed By (14 Apr 2003 to 13 Apr 2004)

Recent activity

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

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