Nicholas Richard Woodford

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF4 Partner (AR) (since 22 Feb 2019)
- CF30 Customer (since 11 Apr 2014)
Future Financial Wealth LLP
FRN 592054
- (11)Employed By (since 11 Apr 2014)
2 Plan Wealth Management Limited (no longer approved here)
FRN 461598
- CF30 Customer (14 Apr 2009 to 10 Oct 2011)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Nov 2007 to 22 Jul 2009)
- CF21 Investment Adviser (2 Nov 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (17 Aug 2004 to 2 Nov 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.