Richard Brocklehurst

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.

  • Astute Private Wealth Limited

    FRN 531465

    • 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 16 Aug 2022)
    • SMF3 Executive Director (since 17 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 18 Aug 2022)
    • CF30 Customer (18 Feb 2013 to 18 Aug 2022)
    • CF1 Director (AR) (18 Feb 2013 to 18 Aug 2022)
  • Astute Investment Management Ltd

    FRN 842580

    • SMF3 Executive Director (since 2 Jan 2020)
  • WTK Wealth Ltd (no longer approved here)

    FRN 594803

    • Employed By (18 Feb 2013 to 4 Jun 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (11 Oct 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jun 2005 to 11 Oct 2006)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (5 Nov 2003 to 27 May 2005)
    • CF22 Investment Adviser (Trainee) (22 Feb 2002 to 5 Nov 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (5 Nov 2003 to 27 May 2005)
    • CF22 Investment Adviser (Trainee) (22 Feb 2002 to 5 Nov 2003)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (22 Feb 2002 to 31 Oct 2005)

Recent activity

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

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