Patricia Mary Richmond

Last updated
2 weeks ago
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Where they hold approval

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

  • Patricia Mary Richmond

    FRN 647059

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 5 Mar 2021)
    • Sole trader dealing with clients for which they require qualification (since 5 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
  • Richmond Financial Planning (no longer approved here)

    FRN 403553

    • (8)Employed By (23 Feb 2011 to 12 Dec 2014)
  • Richmond Financial Services (no longer approved here)

    FRN 158371

    • Employed By (28 Apr 2004 to 30 Sep 2006)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2006)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 14 Nov 2005)

Recent activity

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

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