Richard Ian Booker

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.

  • GHC Wealth Management Limited (no longer approved here)

    FRN 598291

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
    • CF30 Customer (26 Nov 2015 to 8 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (16 Jun 2014 to 20 Nov 2015)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (14 Sep 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Nov 2006 to 14 Sep 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (14 Sep 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Nov 2006 to 14 Sep 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Nov 2005 to 18 Oct 2006)
    • CF22 Investment Adviser (Trainee) (13 Dec 2004 to 1 Nov 2005)
  • PSA Financial Services Limited (no longer approved here)

    FRN 231108

    • CF21 Investment Adviser (3 Aug 2004 to 30 Nov 2004)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 2 Oct 2002)

Recent activity

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

No changes recorded yet.