Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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D & A Investments Partnership Limited
FRN 761091
- 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)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Jan 2022)
- CF1 Director (AR) (12 Feb 2018 to 19 Jan 2022)
- CF30 Customer (10 Feb 2017 to 19 Jan 2022)
- CF11 Money Laundering Reporting (10 Feb 2017 to 8 Dec 2019)
- CF1 Director (4 Jan 2017 to 8 Dec 2019)
- Responsible for Insurance Mediation (4 Jan 2017 to 30 Sep 2018)
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- Employed By (11 Aug 2016 to 19 Jan 2022)
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- CF1 Director (AR) (13 Aug 2013 to 2 Feb 2018)
- CF30 Customer (12 Aug 2013 to 2 Feb 2018)
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- Employed By (12 Aug 2013 to 2 Feb 2018)
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- CF21 Investment Adviser (16 Aug 2004 to 24 Nov 2005)
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- CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.