Derek Robert Goodwin

Last updated
3 weeks ago
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Where they hold approval

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

  • Chase de Vere Independent Financial Advisers limited

    FRN 137914

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (30 Jan 2015 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (20 Sep 2010 to 29 Jul 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 4 Jun 2002)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 6 Aug 2010)
    • CF21 Investment Adviser (24 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (3 Oct 2006 to 24 May 2007)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF21 Investment Adviser (1 Dec 2001 to 4 Jun 2002)

Recent activity

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

No changes recorded yet.