Richard Charles Stokes

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.

  • Niche Advice Limited

    FRN 750263

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 30 Nov 2021)
    • CF10 Compliance Oversight (15 Dec 2016 to 8 Dec 2019)
    • CF1 Director (15 Dec 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (15 Dec 2016 to 30 Sep 2018)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF1 Director (AR) (19 Sep 2011 to 14 Dec 2016)
    • CF30 Customer (19 Sep 2011 to 2 Feb 2015)
  • JULIAN HARRIS ADVISER NETWORK LIMITED (no longer approved here)

    FRN 304155

    • CF1 Director (AR) (2 Mar 2010 to 23 Nov 2011)

Recent activity

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

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