Douglas James Moore

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.

  • Advanta Wealth Ltd (no longer approved here)

    FRN 605977

    • [FCA CF] Client dealing (4 Aug 2022 to 15 Dec 2022)
    • [FCA CF] Functions requiring qualifications (4 Aug 2022 to 15 Dec 2022)
  • Advanta Direct Ltd (no longer approved here)

    FRN 430987

    • [FCA CF] Client dealing (1 Dec 2020 to 24 Jan 2024)
    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 24 Jan 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Aug 2022)
    • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Aug 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Aug 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Jun 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Jun 2005 to 31 Mar 2009)
    • CF1 Director (1 Jun 2005 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.