Philip Richard Patient

Last updated
1 week ago
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Where they hold approval

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

  • HFMC Wealth Management Ltd

    FRN 146717

    • 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
    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • SMF3 Executive Director (since 16 Nov 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
  • Weston-Cummins Limited

    FRN 147608

    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • SMF3 Executive Director (since 14 Aug 2023)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
  • HFMC Wealth Limited

    FRN 192999

    • 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
    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Feb 2021)
    • CF30 Customer (16 Aug 2019 to 8 Dec 2019)
    • CF1 Director (18 Dec 2018 to 8 Dec 2019)
  • HFMC Asset Management Limited

    FRN 194722

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
    • SMF3 Executive Director (16 Nov 2020 to 20 Dec 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
    • CF30 Customer (16 Aug 2019 to 8 Dec 2019)
  • HFMC Wealth Partners LLP

    FRN 427640

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF27 Partner (since 16 Nov 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
    • CF30 Customer (9 Jul 2018 to 8 Dec 2019)
  • R&S Associates Financial Planning Limited

    FRN 827417

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
    • SMF16 Compliance Oversight (since 4 Feb 2026)
    • SMF3 Executive Director (since 22 Feb 2023)
    • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
  • Aspinalls Family Office LLP (no longer approved here)

    FRN 514965

    • Responsible for Insurance Distribution (23 Mar 2026 to 31 Mar 2026)
    • SMF16 Compliance Oversight (4 Feb 2026 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
    • SMF27 Partner (16 Nov 2020 to 31 Mar 2026)
  • C. HOARE & CO. (no longer approved here)

    FRN 122093

    • CF30 Customer (9 Sep 2015 to 6 Mar 2016)
  • STONEHAGE FLEMING WEALTH PLANNING LIMITED (no longer approved here)

    FRN 562235

    • CF30 Customer (2 Apr 2012 to 21 Aug 2015)

Recent activity

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

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