Elizabeth Nia Richards

Watch for changes

Where they hold approval

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

DOJ Wealth Management Limited (no longer approved here)
FRN 402030
- (1)Employed By (30 Nov 2005 to 28 Feb 2006)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF21 Investment Adviser (29 May 2003 to 3 Jun 2003)
- CF22 Investment Adviser (Trainee) (26 Jun 2002 to 29 May 2003)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- CF21 Investment Adviser (29 May 2003 to 3 Jun 2003)
- CF22 Investment Adviser (Trainee) (26 Jun 2002 to 29 May 2003)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (29 May 2003 to 28 Feb 2006)
- CF22 Investment Adviser (Trainee) (26 Jun 2002 to 29 May 2003)

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.