Richard Ian Lockley

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.

  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2022)
    • Sole trader dealing with clients for which they require qualification (9 Dec 2019 to 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2022)
    • CF30 Customer (31 Oct 2013 to 8 Dec 2019)
  • BFS Handforth Limited (no longer approved here)

    FRN 413664

    • CF30 Customer (1 Nov 2007 to 24 Aug 2012)
    • CF21 Investment Adviser (5 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Dec 2005 to 5 Jun 2006)

Recent activity

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

No changes recorded yet.