Richmond Wealth & Investment Limited

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Addresses

The contact details this firm has registered with the FCA.

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

Financial Mis-Selling Claims
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Credit Brokering
Debt Advice
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- · 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”.
Claims Lead Generation

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

Cheryl Ferris
IRN CXF00183
- [FCA CF] Client dealing (1 Sep 2021 to 12 Jul 2023)
- [FCA CF] Functions requiring qualifications (1 Sep 2021 to 12 Jul 2023)
Samuel Bryans
IRN SCB00012
- SMF3 Executive Director (since 1 Jul 2021)
- SMF16 Compliance Oversight (since 1 Jul 2021)
- [FCA CF] Client dealing (1 Sep 2021 to 12 Jul 2023)
- [FCA CF] Functions requiring qualifications (1 Sep 2021 to 12 Jul 2023)
- Responsible for Insurance Distribution (1 Jul 2021 to 20 Jul 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (1 Jul 2021 to 20 Jul 2023)
- SMF29 Limited scope function (limited scope SMCR firms only) (1 Jul 2021 to 1 Jul 2021)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.