David Winston Hester

• DAVID HESTER FINANCIAL SERVICES LTD

  FRN 503848

  • 14. Managing investments
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 12 Sep 2016)
  • Responsible for Insurance Mediation (15 Sep 2009 to 30 Sep 2018)
  • CF30 Customer (15 Sep 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Sep 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Sep 2009 to 8 Dec 2019)
  • CF1 Director (15 Sep 2009 to 8 Dec 2019)
• Quilter Financial Planning Solutions Limited (no longer approved here)

  FRN 184591

  • CF30 Customer (1 Nov 2007 to 24 Nov 2009)
  • CF21 Investment Adviser (3 Mar 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Nov 2004 to 3 Mar 2005)
• RLUM Limited (no longer approved here)

  FRN 144032

  • CF21 Investment Adviser (1 Dec 2001 to 22 Nov 2004)

No changes recorded yet.