David Wyn Davies

Last updated
2 weeks ago
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Where they hold approval

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

  • KEYSTONE FINANCIAL LIMITED

    FRN 501917

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 1 Aug 2024)
    • [FCA CF] Client dealing (since 4 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Aug 2024)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2024)
    • CF11 Money Laundering Reporting (1 Jan 2019 to 8 Dec 2019)
    • CF1 Director (29 Mar 2018 to 8 Dec 2019)
    • CF1 Director (AR) (20 May 2015 to 1 Aug 2024)
    • CF30 Customer (4 Jan 2010 to 6 Aug 2024)
  • Charterhouse Financial Planning Limited (no longer approved here)

    FRN 449128

    • CF22 Investment Adviser (Trainee) (23 Jan 2007 to 16 Apr 2007)

Recent activity

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

No changes recorded yet.