Richard Coleman

Last updated
5 days ago
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Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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 29 Oct 2025)
    • [FCA CF] Client dealing (since 29 Oct 2025)
  • Coleman FS Limited

    FRN 997314

    • 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 1 Dec 2023)
    • [FCA CF] Client dealing (since 1 Dec 2023)
    • SMF3 Executive Director (since 28 Nov 2023)
    • Responsible for Insurance Distribution (since 28 Nov 2023)
    • SMF16 Compliance Oversight (since 28 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Nov 2023)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 Nov 2023)
    • CF30 Customer (1 Nov 2007 to 14 Nov 2023)
    • CF7 Sole Trader (AR) (27 Jun 2002 to 31 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard Coleman (no longer approved here)

    FRN 214088

    • (1)Employed By (27 Jun 2002 to 14 Nov 2023)

Recent activity

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

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