Nicholas Charles Randall

Last updated
5 days ago
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Where they hold approval

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

  • Alington Ruthin Stockbrokers and Investment Management Limited

    FRN 944965

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Material risk taker (since 11 Oct 2021)
    • SMF1 Chief Executive (since 11 Oct 2021)
    • SMF3 Executive Director (since 11 Oct 2021)
    • [FCA CF] Client dealing (since 11 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2022)
    • CF30 Customer (16 Apr 2018 to 11 Oct 2021)
    • CF1 Director (AR) (16 Apr 2018 to 11 Oct 2021)
  • Alington Ruthin Stockbrokers and Investment Management Ltd (no longer approved here)

    FRN 231308

    • (3)Employed By (14 Jan 2004 to 5 Apr 2018)

Recent activity

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

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