Richard Alexander Jennings

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.

  • JT Financial Management Limited (no longer approved here)

    FRN 627757

    • SMF3 Executive Director (9 Dec 2019 to 26 Aug 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Aug 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Aug 2025)
    • CF1 Director (17 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (17 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Oct 2014 to 8 Dec 2019)
  • Triple Point Investment Management LLP (no longer approved here)

    FRN 456597

    • CF4 Partner (16 Feb 2012 to 1 May 2014)
    • CF30 Customer (16 Feb 2012 to 1 May 2014)
  • Rothschild & Co Wealth Management UK Limited (no longer approved here)

    FRN 218613

    • CF30 Customer (8 Oct 2008 to 30 Sep 2011)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
    • CF21 Investment Adviser (23 May 2002 to 31 Oct 2007)
  • SCHRODER & CO. LIMITED (no longer approved here)

    FRN 144206

    • CF27 Investment Management (1 Dec 2001 to 30 Apr 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2002)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.