James Alastair Ward Richardson

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 29 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 29 Jun 2021)
  • Unique FS Limited (no longer approved here)

    FRN 715247

    • SMF3 Executive Director (9 Dec 2019 to 27 Apr 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Apr 2020)
    • Responsibility for MCD Intermediation (16 Aug 2016 to 27 Apr 2020)
    • CF1 Director (1 Mar 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2016 to 30 Sep 2018)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

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