Catherine Barbara Richardson

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Where they hold approval

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

Navigation Wealth Management Limited
FRN 911786
- (13)Employed By (since 16 Mar 2020)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 7 Aug 2012)
- CF1 Director (AR) (7 Aug 2012 to 20 Apr 2020)
CBR Wealth Management Limited (no longer approved here)
FRN 585858
- Employed By (7 Aug 2012 to 20 Apr 2020)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (23 Jun 2011 to 1 Jun 2012)

Updates to this individual'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. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

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