Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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2 Plan Wealth Management Limited
FRN 461598
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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
- Appointed representative dealing with clients for which they require qualification (since 12 Feb 2025)
- CF1 Director (AR) (since 3 Oct 2024)
- CF30 Customer (since 3 Oct 2024)
- [FCA CF] Client dealing (1 Jul 2024 to 12 Feb 2025)
- [FCA CF] Functions requiring qualifications (1 Jul 2024 to 12 Feb 2025)
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Richwood Financial Services Limited
FRN 1042987
- (1)Employed By (since 3 Oct 2024)
- (1)CF21 Investment Adviser (8 May 2006 to 31 Oct 2007)
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- [FCA CF] Client dealing (9 Dec 2019 to 12 Jul 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jul 2024)
- SMF3 Executive Director (9 Dec 2019 to 12 Jul 2024)
- CF30 Customer (14 Aug 2012 to 8 Dec 2019)
- CF1 Director (14 Aug 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.