Richard Andrew William Gunson

• GUNSON & CO INDEPENDENT FINANCIAL ADVISERS LTD

  FRN 793617

  • 11. Pension transfer specialist
  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (9 Apr 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (9 Apr 2018 to 30 Sep 2018)
  • CF30 Customer (9 Apr 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Apr 2018 to 8 Dec 2019)
• St. James's Place Wealth Management Plc (no longer approved here)

  FRN 195351

  • CF4 Partner (AR) (13 Feb 2018 to 29 Mar 2018)
  • CF30 Customer (4 Feb 2016 to 29 Mar 2018)
• Sovereign Wealth Limited (no longer approved here)

  FRN 471459

  • (42)Employed By (4 Feb 2016 to 29 Mar 2018)
• True Potential Wealth Management LLP (no longer approved here)

  FRN 529810

  • CF30 Customer (17 Jun 2011 to 3 Nov 2011)
• Quilter Financial Planning Solutions Limited (no longer approved here)

  FRN 184591

  • CF30 Customer (1 Nov 2007 to 25 Aug 2009)
  • CF24 Pension Transfer Specialist (15 Jul 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (15 Aug 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (29 May 2002 to 15 Aug 2002)
• TenetConnect Services Limited (no longer approved here)

  FRN 150643

  • CF21 Investment Adviser (1 Dec 2001 to 22 Jul 2002)
  • CF1 Director (AR) (1 Dec 2001 to 22 Jul 2002)
• Furness Financial Advisers Ltd (no longer approved here)

  FRN 207456

  • (19)Employed By (1 Dec 2001 to 22 Jul 2002)

No changes recorded yet.