Richard Cotton

Last updated
2 weeks ago
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Where they hold approval

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

  • M&G ADVICE PARTNERS LIMITED

    FRN 584256

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2021)
    • CF1 Director (AR) (since 20 Jan 2021)
    • CF30 Customer (since 20 Jan 2021)
    • [FCA CF] Client dealing (6 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (14 Mar 2017 to 8 Dec 2019)
  • Shoreline Financial Planning Limited

    FRN 939764

    • (1)Employed By (since 20 Jan 2021)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (15 May 2007 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (15 May 2007 to 29 Oct 2007)

Recent activity

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

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