David Thomas Nicholls

Watch for changes

Where they hold approval

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

David Nicholls (no longer approved here)
FRN 716030
- Employed By (18 Sep 2015 to 1 Mar 2018)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (31 Dec 2009 to 1 Mar 2018)
- CF21 Investment Adviser (29 Aug 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (15 May 2003 to 29 Aug 2003)
SDB Strategic Planners Limited (no longer approved here)
FRN 116337
- CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.