Gareth David Richards

Last updated
4 days ago
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Where they hold approval

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

  • W P S WEALTH LIMITED

    FRN 1023571

    • 4. Giving personal recommendations on retail investment products which are not 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)
    • [FCA CF] Client dealing (since 1 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
    • SMF3 Executive Director (since 1 Apr 2025)
    • Responsibility for MCD Intermediation (since 1 Apr 2025)
    • Responsible for Insurance Distribution (since 1 Apr 2025)
    • SMF16 Compliance Oversight (since 1 Apr 2025)
  • M4 Financial Group Limited (no longer approved here)

    FRN 583474

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 1 Apr 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2025)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • CF10 Compliance Oversight (13 Jun 2016 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (13 Jun 2016 to 31 Mar 2025)
    • CF30 Customer (14 Dec 2012 to 31 Mar 2025)
    • CF1 Director (14 Dec 2012 to 8 Dec 2019)
  • WPS Wealth Ltd (no longer approved here)

    FRN 602286

    • Employed By (26 Jun 2013 to 31 Mar 2025)
  • Tudor House Financial Services Limited (no longer approved here)

    FRN 409706

    • Employed By (15 Jan 2013 to 31 Mar 2025)

Recent activity

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

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