Richard Griffiths

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.

  • Julius Baer International Limited

    FRN 139179

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 28 May 2024)
    • [FCA CF] Client dealing (since 28 May 2024)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Functions requiring qualifications (1 Nov 2019 to 17 Mar 2024)
    • [FCA CF] Client dealing (1 Nov 2019 to 17 Mar 2024)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF30 Customer (19 Jan 2016 to 6 Mar 2016)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (2 Sep 2014 to 8 Dec 2015)

Recent activity

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

No changes recorded yet.