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.

  • Ronald Jin Ming Lo

    IRN RXL00368

    • CF3 Chief Executive (AR) (1 Nov 2023 to 3 Jan 2024)
  • Salomon Pines

    IRN SXP00398

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF1 Director (AR) (since 1 Jun 2021)
    • Appointed representative dealing with clients for which they require qualification (since 18 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 18 Feb 2021)
  • Samuel Dunbar Grice

    IRN SXG00389

    • CF1 Director (AR) (since 6 Sep 2021)
  • Samuel Tesler

    IRN SXT02250

    • CF1 Director (AR) (31 Aug 2017 to 20 Dec 2018)
  • Sandhya Jayamohan

    IRN SXJ00346

    • [FCA CF] Functions requiring qualifications (7 Sep 2022 to 31 Oct 2022)
    • Appointed representative dealing with clients for which they require qualification (7 Sep 2022 to 31 Oct 2022)
  • Saul Levy

    IRN SXL00452

    • CF1 Director (AR) (since 4 Jul 2022)
  • Scott Adrian Fraser Gay

    IRN SXG00306

    • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 9 Apr 2021)
  • Shaahid Shawkat Nana Quinn

    IRN SXQ00021

    • Appointed representative dealing with clients for which they require qualification (14 Sep 2020 to 25 Jun 2021)
    • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 25 Jun 2021)
  • Shaya Zev Klyne

    IRN SXK00467

    • CF1 Director (AR) (21 Apr 2022 to 26 Feb 2023)
  • Shlomie Freifeld

    IRN SXF00579

    • CF1 Director (AR) (since 16 Jan 2026)
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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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