Dean Whittaker

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.

  • DW Wealth Management Ltd

    FRN 803509

    • 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] Significant management (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (1 May 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 May 2018 to 30 Sep 2018)
    • CF30 Customer (1 May 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF1 Director (AR) (13 Apr 2017 to 27 Apr 2018)
    • CF30 Customer (13 Apr 2017 to 27 Apr 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Mar 2013 to 17 Oct 2014)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Mar 2012 to 17 Jan 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Mar 2010 to 25 Nov 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (3 Jul 2009 to 14 Mar 2010)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (23 Feb 2009 to 11 May 2009)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
    • CF22 Investment Adviser (Trainee) (15 Jun 2007 to 31 Oct 2007)
  • Xact Finance (UK) Limited (no longer approved here)

    FRN 402296

    • Employed By (2 Aug 2004 to 30 Sep 2005)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (31 Mar 2004 to 30 Sep 2005)
    • CF22 Investment Adviser (Trainee) (9 Mar 2004 to 31 Mar 2004)
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Updates to this individual's record on the FCA register.

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