Mark Rickards

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • GEMINI WEALTH MANAGEMENT LTD

    FRN 458880

    • 9A. Advising on P2P agreements
    • 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] Client dealing (since 24 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2022)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (15 Nov 2021 to 18 Jul 2022)
    • Appointed representative dealing with clients for which they require qualification (15 Nov 2021 to 18 Jul 2022)
  • Opal Wealth Management Ltd (no longer approved here)

    FRN 586905

    • (2)Employed By (15 Nov 2021 to 18 Jul 2022)
  • Henwood Court Financial Planning Limited (no longer approved here)

    FRN 417707

    • CF30 Customer (23 Jul 2018 to 17 Apr 2019)

Recent activity

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

  1. controlled function removed: Employed By at Opal Wealth Management Ltd

  2. controlled function added: (2)Employed By at Opal Wealth Management Ltd