Dien Son Richard To

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.

  • Throgmorton Capital Management Limited

    FRN 827982

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 17 Apr 2023)
    • [FCA CF] Client dealing (since 17 Apr 2023)
  • Oculus Wealth Management Limited (no longer approved here)

    FRN 605985

    • [FCA CF] Client dealing (13 May 2022 to 13 Apr 2023)
    • [FCA CF] Functions requiring qualifications (13 May 2022 to 13 Apr 2023)
    • Appointed representative dealing with clients for which they require qualification (13 May 2022 to 13 Apr 2023)
    • CF30 Customer (13 May 2022 to 13 Apr 2023)
  • Oculus Wealth Management (Cheshire) Ltd (no longer approved here)

    FRN 966742

    • (6)Employed By (13 May 2022 to 13 Apr 2023)
  • Daintree Wealth Management Limited (no longer approved here)

    FRN 828483

    • [FCA CF] Client dealing (1 Feb 2021 to 30 Apr 2022)
    • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 30 Apr 2022)
  • HFMC Wealth Management Ltd (no longer approved here)

    FRN 146717

    • CF30 Customer (15 May 2019 to 21 Aug 2019)
  • HFMC Asset Management Limited (no longer approved here)

    FRN 194722

    • CF30 Customer (15 May 2019 to 21 Aug 2019)

Recent activity

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

No changes recorded yet.