Katie Louise Richards

Last updated
6 days ago
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Where they hold approval

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

  • Y Tree Limited

    FRN 967369

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
    • [FCA CF] Client dealing (since 17 Jan 2023)
    • [FCA CF] Manager of certification employee (7 Jul 2023 to 10 Apr 2024)
  • G10 Capital Limited (no longer approved here)

    FRN 648953

    • CF30 Customer (14 Nov 2022 to 11 Jan 2023)
  • Thornbridge Investment Management LLP (no longer approved here)

    FRN 713859

    • [FCA CF] Client dealing (4 Jul 2022 to 16 Jan 2023)
    • Appointed representative dealing with clients for which they require qualification (4 Jul 2022 to 16 Jan 2023)
    • CF30 Customer (28 Jun 2022 to 16 Jan 2023)
  • Y Tree Limited (no longer approved here)

    FRN 799043

    • Employed By (28 Jun 2022 to 16 Jan 2023)

Recent activity

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

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