Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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DW Wealth Management Ltd
FRN 803509
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 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] Manager of certification employee (since 10 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (1 May 2018 to 8 Dec 2019)
- CF30 Customer (1 May 2018 to 8 Dec 2019)
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- CF1 Director (AR) (12 Apr 2017 to 27 Apr 2018)
- CF30 Customer (12 Apr 2017 to 27 Apr 2018)
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- CF30 Customer (9 Sep 2013 to 25 Jul 2014)
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- CF30 Customer (1 Dec 2011 to 9 Sep 2013)
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- CF30 Customer (15 Mar 2010 to 25 Nov 2011)
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- CF30 Customer (8 Apr 2009 to 14 Mar 2010)
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- CF22 Investment Adviser (Trainee) (15 Jul 2004 to 31 Oct 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.