Richard Ian Dicks

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.

  • Broadland Consultants Ltd

    FRN 958621

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 26 Nov 2021)
    • [FCA CF] Client dealing (since 26 Nov 2021)
  • Broadland Consultants Ltd (no longer approved here)

    FRN 521208

    • Employed By (3 May 2013 to 7 Dec 2021)
  • Paul George Yallop (no longer approved here)

    FRN 194261

    • (6)Employed By (27 Nov 2008 to 7 Dec 2021)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

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