Richard Charles Broad

Watch for changes

Where they hold approval

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

HANOVER WEALTH MANAGEMENT LIMITED (no longer approved here)
FRN 476326
- CF30 Customer (1 Jul 2011 to 17 Jan 2012)
The On-Line Partnership Limited (no longer approved here)
FRN 192638
- CF21 Investment Adviser (16 Apr 2003 to 31 Mar 2005)
Parkgate Financial Solutions LLP (no longer approved here)
FRN 223461
- (15)Employed By (16 Apr 2003 to 31 Mar 2005)
Parkgate Financial Services (2018) (no longer approved here)
FRN 182305
- (8)Employed By (1 Dec 2001 to 15 Apr 2003)

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.