Derek Anthony Dryden

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.

  • Finli (G&P) Ltd

    FRN 142752

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 May 2025)
    • CF30 Customer (11 Mar 2009 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 2 May 2007)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
    • CF30 Customer (11 Feb 2015 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 22 May 2009)
    • CF21 Investment Adviser (30 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Dec 2006 to 30 Jul 2007)
  • The Northallerton Practice Ltd (no longer approved here)

    FRN 461818

    • Employed By (28 Dec 2006 to 22 May 2009)

Recent activity

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

No changes recorded yet.