RICHDALE BROKERS AND FINANCIAL SERVICES LTD.

Date authorised
2 May 2017
Companies House
10022067
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Cornhill
    London
    EC3V 3ND
    UNITED KINGDOM
    Phone
    +4402077818019
    Web
    https://www.richdale.co.uk

  • Complaints Contact

    1 Cornhill
    London
    EC3V 3ND
    UNITED KINGDOM
    Phone
    +4402077818019

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Negotiation

    Show 1 limitation
    • · Limited to debt adjusting excluding the conclusion or administration of debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Debt Plan Admin

  • Debt Collection

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Consumer Loans

  • Loan Servicing

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Graham Roy Mitchelhill

    IRN GRM00019

    • [FCA CF] Functions requiring qualifications (26 Sep 2022 to 17 Jul 2023)
    • Appointed representative dealing with clients for which they require qualification (26 Sep 2022 to 17 Jul 2023)
  • Healy, Jason

    IRN HXJ01227

    • [FCA CF] Functions requiring qualifications (15 Jun 2022 to 31 Oct 2022)
  • Heather Joanna Greatorex

    IRN HXG00076

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 4 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Aug 2025)
    • CF1 Director (AR) (since 4 Jul 2025)
  • Isachar Dov Glick

    IRN IXG00134

    • Appointed representative dealing with clients for which they require qualification (14 Mar 2024 to 29 May 2025)
    • [FCA CF] Functions requiring qualifications (14 Mar 2024 to 29 May 2025)
    • CF1 Director (AR) (7 Feb 2024 to 29 May 2025)
  • Jacob Bernstein

    IRN JXB03566

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Sep 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 2 May 2017)
    • Responsible for Insurance Mediation (2 May 2017 to 30 Sep 2018)
    • CF1 Director (2 May 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 May 2017 to 8 Dec 2019)
  • Jakob Grunwald

    IRN JXG02372

    • CF1 Director (AR) (29 Aug 2017 to 14 Dec 2018)
  • James Alexander Cave

    IRN JXC01671

    • [FCA CF] Functions requiring qualifications (15 Oct 2024 to 31 Jan 2025)
  • James Andrew Garmston

    IRN JXG00490

    • CF1 Director (AR) (28 Apr 2022 to 7 Feb 2023)
  • Janine Maritz-Muller

    IRN JXM31113

    • [FCA CF] Functions requiring qualifications (20 Oct 2022 to 31 Oct 2022)
    • Appointed representative dealing with clients for which they require qualification (20 Oct 2022 to 31 Oct 2022)
  • Jennifer Victoria Musgrave

    IRN JXM00668

    • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 30 Mar 2022)
    • Appointed representative dealing with clients for which they require qualification (14 Sep 2020 to 30 Mar 2022)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Show more

Recent activity

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

No changes recorded yet.