Clive Maxwell Richmond

Last updated
2 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 31 May 2012)
  • Clive Richmond

    FRN 581987

    • Employed By (since 31 May 2012)
  • PIPER SANDLER LTD. (no longer approved here)

    FRN 191657

    • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
    • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2005)

Recent activity

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

No changes recorded yet.