Richard Donald Wernham

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.

  • Simple Solutions Financial Management Ltd (no longer approved here)

    FRN 511977

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Oct 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 16 Oct 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Apr 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Apr 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Apr 2026)
    • SMF3 Executive Director (9 Dec 2019 to 2 Apr 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 12 Jan 2026)
    • CF1 Director (19 Jan 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 Jan 2010 to 30 Sep 2018)
    • CF30 Customer (19 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jan 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jan 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Oct 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 6 Oct 2020)
    • CF30 Customer (15 Jan 2019 to 8 Dec 2019)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • CF30 Customer (2 Jan 2008 to 1 Nov 2009)
  • Ravencourt Financial Services Ltd (no longer approved here)

    FRN 414516

    • (7)Employed By (2 Jan 2008 to 1 Nov 2009)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF21 Investment Adviser (19 Oct 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Jun 2004 to 19 Oct 2004)
  • Don Wernham and Co (no longer approved here)

    FRN 214998

    • (1)Employed By (1 Dec 2001 to 1 Oct 2004)

Recent activity

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

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