David William James Gunter

Last updated
1 week ago
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Where they hold approval

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

  • Stewart Waugh & David Gunter t/a Quintet Insurance Services

    FRN 313299

    • Responsible for Insurance Distribution (since 27 Nov 2025)
    • Responsible for Insurance Mediation (since 27 Nov 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Aug 2025)
    • SMF27 Partner (since 9 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF4 Partner (14 Jan 2005 to 8 Dec 2019)
  • David Gunter

    FRN 697420

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 22 Oct 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 22 Oct 2020)
    • CF1 Director (2 Nov 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Nov 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Nov 2015 to 8 Dec 2019)
    • CF30 Customer (2 Nov 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Nov 2015 to 30 Sep 2018)
  • Quintet Financial Services (1615) (no longer approved here)

    FRN 171518

    • (3)Employed By (11 Aug 1999 to 30 Oct 2015)

Recent activity

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

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