Richard Ellis

Last updated
6 days ago
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Where they hold approval

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

  • Ellis Davies Financial Planning Limited

    FRN 938369

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • Responsible for Insurance Distribution (since 1 Apr 2021)
    • SMF16 Compliance Oversight (since 1 Apr 2021)
    • SMF3 Executive Director (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Mar 2021)
    • CF30 Customer (20 Mar 2017 to 30 Mar 2021)
    • CF1 Director (AR) (20 Mar 2017 to 30 Mar 2021)

Recent activity

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

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