Richard Ian Mitchell Ball

Watch for changes

Where they hold approval

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

Robert Moreland Ltd
FRN 800013
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 27 Apr 2020)
- CF30 Customer (since 13 Jun 2018)
- CF1 Director (AR) (since 13 Jun 2018)
Millstream Financial Services Ltd
FRN 501864
- (1)Employed By (since 13 Jun 2018)
- (1)Employed By (11 Mar 2010 to 4 Jun 2018)

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.