Richard Gerard Caldwell

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (17 Mar 2009 to 19 Jul 2011)
- CF4 Partner (AR) (17 Mar 2009 to 13 Dec 2010)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- CF4 Partner (AR) (17 Mar 2009 to 13 Dec 2010)
Elevate Portfolio Services Limited (no longer approved here)
FRN 144849
- CF21 Investment Adviser (1 Dec 2003 to 31 Oct 2004)
- CF22 Investment Adviser (Trainee) (8 May 2003 to 1 Dec 2003)
Aviva Administration Limited (no longer approved here)
FRN 185746
- CF21 Investment Adviser (1 Dec 2003 to 7 Oct 2005)
- CF22 Investment Adviser (Trainee) (8 May 2003 to 1 Dec 2003)
Quantum 3 Financial Services Ltd (no longer approved here)
FRN 221358
- Employed By (8 May 2003 to 7 Oct 2005)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 3 May 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.