Karen Charlotte 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.

  • Karen Richardson Financial Services Limited

    FRN 715396

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (16 May 2016 to 30 Sep 2018)
    • CF30 Customer (16 May 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 May 2016 to 8 Dec 2019)
    • CF1 Director (16 May 2016 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 21 Nov 2011)
    • CF21 Investment Adviser (7 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Jan 2007 to 7 Mar 2007)
  • Azets Wealth Management Limited (no longer approved here)

    FRN 449016

    • CF21 Investment Adviser (2 Jun 2006 to 20 Dec 2006)

Recent activity

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

No changes recorded yet.