RICHDALE BROKERS AND FINANCIAL SERVICES LTD.

Date authorised
2 May 2017
Companies House
10022067
Last scraped
1 week ago
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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.

  • Kay Louise Rose

    IRN KXA00094

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 18 Jun 2024)
  • Keith Laurence Wilen

    IRN KXW00352

    • CF1 Director (AR) (since 20 Mar 2024)
  • Kelly Yvonne Humpheryes

    IRN KXH00208

    • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 31 Oct 2022)
    • Appointed representative dealing with clients for which they require qualification (14 Sep 2020 to 31 Oct 2022)
  • Kerra Demetria McDonough

    IRN KXM00453

    • CF1 Director (AR) (since 8 May 2022)
  • Kunwar Sood

    IRN KXS00889

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2025)
    • Appointed representative dealing with clients for which they require qualification (since 19 Nov 2025)
    • CF1 Director (AR) (since 28 Oct 2025)
  • Lawrence T Greenberg

    IRN LXG00216

    • CF1 Director (AR) (since 20 Oct 2022)
  • Liba Brenig

    IRN LXB00520

    • CF1 Director (AR) (11 Feb 2025 to 26 Feb 2026)
  • Marcus Michael Docker

    IRN MMD01074

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 15 Apr 2026)
    • Appointed representative dealing with clients for which they require qualification (1 Feb 2025 to 15 Apr 2026)
    • [FCA CF] Functions requiring qualifications (1 Feb 2025 to 15 Apr 2026)
    • CF1 Director (AR) (30 Dec 2024 to 15 Apr 2026)
  • Mark Ashley Rogers

    IRN MXR00538

    • CF1 Director (AR) (since 5 May 2022)
  • Mark Daysh

    IRN MXD10734

    • CF1 Director (AR) (28 Jul 2022 to 28 Mar 2023)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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