David Vaughan Travers

Last updated
2 days ago
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Where they hold approval

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

  • David Travers Financial Services

    FRN 441196

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (15 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (26 Sep 2012 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
  • David Travers Financial Services (1060) (no longer approved here)

    FRN 154605

    • Employed By (1 Oct 1998 to 30 Dec 2005)

Recent activity

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

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