David Tom Alain Burgess

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 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 7 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Aug 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Dec 2021)
    • CF30 Customer (20 Feb 2018 to 31 Dec 2021)
  • David Burgess (no longer approved here)

    FRN 801099

    • Employed By (20 Feb 2018 to 31 Dec 2021)
  • Novate Global Markets Limited (no longer approved here)

    FRN 124624

    • (283)CF30 Customer (8 Jan 2009 to 8 Jun 2015)

Recent activity

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

  1. controlled function added: (283)CF30 Customer at Novate Global Markets Limited