Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Richmond Wealth LLP
FRN 600308
- 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 1 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
- CF30 Customer (30 Sep 2016 to 8 Dec 2019)
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- CF30 Customer (26 Nov 2014 to 9 May 2017)
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- Employed By (23 Jun 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.