Peter Leslie Dart

Last updated
1 week ago
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Where they hold approval

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

  • Dart Wealth Management Limited

    FRN 789271

    • 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
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 3 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (3 Aug 2020 to 31 Aug 2021)
    • CF11 Money Laundering Reporting (6 Apr 2018 to 8 Dec 2019)
    • CF1 Director (6 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (6 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Apr 2018 to 30 Sep 2018)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (20 Aug 2015 to 6 Apr 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (13 Aug 2012 to 5 Apr 2018)
  • Stockdale & Company (no longer approved here)

    FRN 176423

    • (5)Employed By (28 Feb 2011 to 5 Apr 2018)

Recent activity

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

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