Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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David Booler & Company
FRN 146287
- 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)
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (since 20 Sep 2018)
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B W Financial Services Limited
FRN 189042
- (5)Employed By (since 9 Feb 2019)
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Nicholsons PSP Limited
FRN 223754
- (5)Employed By (since 9 Feb 2019)
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Ballards FS Limited
FRN 224308
- (5)Employed By (since 9 Feb 2019)
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Ruthlyn House Wealth Management Limited
FRN 439964
- (8)Employed By (since 9 Feb 2019)
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- (5)Employed By (since 9 Feb 2019)
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- Employed By (9 Feb 2019 to 8 Feb 2023)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Vaughan Davies & Co (Pensions & Investments) Limited
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controlled function added: (5)Employed By at Vaughan Davies & Co (Pensions & Investments) Limited
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controlled function removed: Employed By at Ruthlyn House Wealth Management Limited
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controlled function added: (8)Employed By at Ruthlyn House Wealth Management Limited
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controlled function removed: Employed By at Nicholsons PSP Limited
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controlled function added: (5)Employed By at Nicholsons PSP Limited
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controlled function removed: Employed By at Ballards FS Limited
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controlled function added: (5)Employed By at Ballards FS Limited
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controlled function removed: Employed By at B W Financial Services Limited
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controlled function added: (5)Employed By at B W Financial Services Limited