David Thomas McConnell

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • ADVANCED ASSET CONSULTANTS LIMITED

    FRN 506551

    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (18 Dec 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Dec 2009 to 14 Mar 2017)
    • CF11 Money Laundering Reporting (18 Dec 2009 to 14 Mar 2017)
    • CF30 Customer (18 Dec 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 Dec 2009 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 23 Dec 2009)
    • CF21 Investment Adviser (19 Dec 2002 to 31 Oct 2007)
    • CF1 Director (AR) (19 Dec 2002 to 23 Dec 2009)
  • Advanced Asset Management Ltd (no longer approved here)

    FRN 221321

    • Employed By (19 Dec 2002 to 23 Dec 2009)

Recent activity

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

No changes recorded yet.