Richard Frederick List

Last updated
3 weeks ago
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Where they hold approval

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

  • W1M Wealth Management Limited

    FRN 120776

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
  • W1M Investment Management Limited (no longer approved here)

    FRN 116404

    • [FCA CF] Manager of certification employee (16 Mar 2023 to 15 Mar 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Oct 2007 to 31 Oct 2007)
    • CF27 Investment Management (20 Sep 2007 to 31 Oct 2007)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • CF27 Investment Management (14 Jan 2004 to 23 Nov 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 28 Sep 2007)

Recent activity

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

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