Karen Jane Ritchie

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.

  • Karen Ritchie Limited

    FRN 1033451

    • 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] Functions requiring qualifications (since 25 Sep 2025)
    • [FCA CF] Client dealing (since 25 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2025)
    • SMF3 Executive Director (since 1 Sep 2025)
    • SMF1 Chief Executive (since 1 Sep 2025)
    • SMF16 Compliance Oversight (since 1 Sep 2025)
  • Blackstone Moregate Limited (no longer approved here)

    FRN 459051

    • CF30 Customer (18 Sep 2024 to 30 Aug 2025)
    • [FCA CF] Functions requiring qualifications (9 Aug 2022 to 30 Aug 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Aug 2022 to 30 Aug 2025)
    • [FCA CF] Client dealing (9 Aug 2022 to 30 Aug 2025)
    • CF1 Director (AR) (6 Jul 2022 to 30 Aug 2025)
  • Cooper Parry Wealth Limited (no longer approved here)

    FRN 197193

    • CF30 Customer (21 Jan 2022 to 8 Aug 2022)
    • [FCA CF] Functions requiring qualifications (1 Jul 2020 to 8 Aug 2022)
    • [FCA CF] Client dealing (1 Jul 2020 to 8 Aug 2022)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 8 Aug 2022)
  • Cooper Parry Wealth (TW) Limited (no longer approved here)

    FRN 712571

    • Employed By (24 Jan 2020 to 30 Aug 2025)
  • HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 197340

    • CF30 Customer (1 Aug 2018 to 28 Jun 2019)

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

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