Gavin O'Neill

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • David Booler & Company

    FRN 146287

    • 14. Managing investments
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF11 Money Laundering Reporting (2 Oct 2016 to 8 Dec 2019)
    • CF4 Partner (5 Apr 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (26 Aug 2004 to 31 Oct 2007)
  • David Booler SIPP Trustees Limited

    FRN 465550

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2016 to 8 Dec 2019)
    • CF1 Director (5 Apr 2013 to 8 Dec 2019)
  • B W Financial Services Limited

    FRN 189042

    • (7)Employed By (since 9 Feb 2019)
  • Nicholsons PSP Limited

    FRN 223754

    • (7)Employed By (since 9 Feb 2019)
  • Ballards FS Limited

    FRN 224308

    • (7)Employed By (since 9 Feb 2019)
  • Ruthlyn House Wealth Management Limited

    FRN 439964

    • (10)Employed By (since 9 Feb 2019)
  • Vaughan Davies & Co (Pensions & Investments) Limited

    FRN 708693

    • (6)Employed By (since 9 Feb 2019)
  • Spencer Hyde Financial Services Limited (no longer approved here)

    FRN 498074

    • Employed By (9 Feb 2019 to 8 Feb 2023)

Recent activity

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

  1. controlled function removed: Employed By at Vaughan Davies & Co (Pensions & Investments) Limited

  2. controlled function added: (6)Employed By at Vaughan Davies & Co (Pensions & Investments) Limited

  3. controlled function removed: Employed By at Ruthlyn House Wealth Management Limited

  4. controlled function added: (10)Employed By at Ruthlyn House Wealth Management Limited

  5. controlled function removed: Employed By at Nicholsons PSP Limited

  6. controlled function added: (7)Employed By at Nicholsons PSP Limited

  7. controlled function removed: Employed By at Ballards FS Limited

  8. controlled function added: (7)Employed By at Ballards FS Limited

  9. controlled function removed: Employed By at B W Financial Services Limited

  10. controlled function added: (7)Employed By at B W Financial Services Limited