Joseph Stoddard Ricks

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.

  • Mather & Murray Financial Ltd

    FRN 696226

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 20 Oct 2020)
    • [FCA CF] Client dealing (since 20 Oct 2020)
    • CF30 Customer (17 Aug 2016 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (19 Apr 2013 to 27 Jul 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (12 Jan 2012 to 3 Sep 2012)

Recent activity

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

No changes recorded yet.