Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Gerard Davis Financial Ltd
FRN 1007625
- 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 17 Jun 2024)
- SMF16 Compliance Oversight (since 17 Jun 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jun 2024)
- SMF3 Executive Director (since 17 Jun 2024)
- [FCA CF] Client dealing (since 17 Jun 2024)
- Responsible for Insurance Distribution (since 17 Jun 2024)
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- [FCA CF] Client dealing (22 Apr 2020 to 14 Jun 2024)
- Appointed representative dealing with clients for which they require qualification (22 Apr 2020 to 14 Jun 2024)
- CF30 Customer (14 Apr 2020 to 14 Jun 2024)
- CF1 Director (AR) (14 Apr 2020 to 14 Jun 2024)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.