Benjamin John Francis Goodridge

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • RFG Financial Management Limited

    FRN 697885

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (5 Aug 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Aug 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Aug 2015 to 30 Sep 2018)
    • CF1 Director (20 Jul 2015 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (3 Dec 2009 to 19 Jan 2012)
  • Warwick Road IFA Limited (no longer approved here)

    FRN 512450

    • Employed By (3 Dec 2009 to 19 Jan 2012)

Recent activity

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

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