David Vivian Thomas

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Where they hold approval

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

IFS Risk Solutions (UK) Limited (no longer approved here)
FRN 232210
- SMF3 Executive Director (9 Dec 2019 to 4 Feb 2020)
- CF30 Customer (1 Nov 2007 to 1 Sep 2016)
- CF1 Director (4 May 2004 to 8 Dec 2019)
- CF21 Investment Adviser (4 May 2004 to 31 Oct 2007)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (14 Sep 2016 to 29 Dec 2017)
Sovereign Wealth Limited (no longer approved here)
FRN 471459
- (3)Employed By (14 Sep 2016 to 29 Dec 2017)

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.