David William Vaughan

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.

  • PLAN MONEY LIMITED

    FRN 605911

    • 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)
    • SMF3 Executive Director (since 27 Mar 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 May 2014 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (28 Mar 2013 to 21 May 2014)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (30 Dec 2009 to 30 Dec 2009)
  • David Vaughan (no longer approved here)

    FRN 515333

    • Employed By (30 Dec 2009 to 30 Dec 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF22 Investment Adviser (Trainee) (1 Sep 2006 to 31 Oct 2007)

Recent activity

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

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