Daniel Paul Joseph Richards

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.

  • COLDREY & BRYANT CONSULTANTS LTD

    FRN 624006

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 3 May 2023)
    • [FCA CF] Functions requiring qualifications (since 3 May 2023)
    • [FCA CF] Significant management (since 3 May 2023)
    • [FCA CF] Client dealing (since 3 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jun 2020 to 28 Sep 2020)
    • Responsibility for MCD Intermediation (1 Jun 2020 to 2 Nov 2021)
    • Responsible for Insurance Distribution (1 Jun 2020 to 2 Nov 2021)
    • SMF16 Compliance Oversight (1 Jun 2020 to 28 Sep 2020)
    • [FCA CF] Client dealing (19 Dec 2019 to 8 Sep 2021)
    • [FCA CF] Manager of certification employee (19 Dec 2019 to 8 Sep 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 8 Sep 2021)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (2 Oct 2020 to 1 Mar 2022)
    • [FCA CF] Functions requiring qualifications (2 Oct 2020 to 1 Mar 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (10 Nov 2008 to 31 Mar 2013)
    • CF22 Investment Adviser (Trainee) (18 Oct 2006 to 3 Aug 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 10 Oct 2008)
    • CF21 Investment Adviser (2 Oct 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (11 Mar 2005 to 22 Sep 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (13 Sep 2004 to 25 Feb 2005)
    • CF22 Investment Adviser (Trainee) (23 Sep 2003 to 13 Sep 2004)

Recent activity

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

No changes recorded yet.