Ray Shepherd

Watch for changes

Where they hold approval

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

KW Wealth Planning Limited (no longer approved here)
FRN 114694
- [FCA CF] Client dealing (9 Dec 2019 to 28 Jun 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jun 2024)
- CF30 Customer (20 Jul 2019 to 8 Dec 2019)
TenetConnect Limited (no longer approved here)
FRN 149826
- CF30 Customer (13 Nov 2012 to 21 Jan 2021)
WFI Financial LLP (no longer approved here)
FRN 587586
- Employed By (13 Nov 2012 to 21 Jan 2021)
Independent Financial Services (UK) Ltd (no longer approved here)
FRN 206445
- (58)Employed By (8 Apr 2004 to 11 May 2007)

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.