Richard Davies

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.

  • Financial Management Bureau Limited

    FRN 125710

    • 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 20 Nov 2023)
    • [FCA CF] Client dealing (since 20 Nov 2023)
    • [FCA CF] Client dealing (21 Apr 2021 to 11 May 2021)
    • [FCA CF] Functions requiring qualifications (21 Apr 2021 to 11 May 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (29 Sep 2021 to 15 Nov 2023)
    • [FCA CF] Client dealing (29 Sep 2021 to 15 Nov 2023)

Recent activity

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

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