Richard Brazier

Last updated
3 weeks ago
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Where they hold approval

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

  • CULVER FINANCIAL MANAGEMENT LIMITED

    FRN 114852

    • 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] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 Jun 2024)
    • Responsible for Insurance Mediation (22 Oct 2015 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (20 Oct 2015 to 8 Dec 2019)
    • CF1 Director (AR) (20 Oct 2015 to 9 Jan 2025)
    • CF10 Compliance Oversight (17 Feb 2010 to 1 Nov 2010)
    • CF11 Money Laundering Reporting (17 Feb 2010 to 1 Nov 2010)
    • CF30 Customer (1 Nov 2007 to 9 Jan 2025)
    • CF1 Director (6 Oct 2006 to 2 Jan 2013)
    • CF24 Pension Transfer Specialist (22 Dec 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (29 Apr 2004 to 31 Oct 2007)
  • Grosvenor Financial Services (no longer approved here)

    FRN 170395

    • (5)Employed By (18 Oct 2002 to 27 Aug 2003)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF21 Investment Adviser (21 Jan 2002 to 14 Jun 2002)
    • CF22 Investment Adviser (Trainee) (21 Jan 2002 to 21 Jan 2002)

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