Richard Isaac Harris

• Wealthcare Limited

  FRN 207647

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (26 Jul 2005 to 19 Dec 2006)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (10 Oct 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (10 Oct 2003 to 1 Nov 2007)
  • CF11 Money Laundering Reporting (10 Oct 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Jul 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (22 Jul 2003 to 31 Oct 2007)
  • CF1 Director (22 Jul 2003 to 8 Dec 2019)
• Wealthcare Pensions & Investments Ltd (no longer approved here)

  FRN 623699

  • Employed By (7 Jan 2015 to 9 Aug 2024)
• Wealthguard Ltd (no longer approved here)

  FRN 448754

  • Employed By (1 Mar 2006 to 30 Jun 2010)
• Contego Ltd (no longer approved here)

  FRN 435972

  • Employed By (26 Jul 2005 to 19 Dec 2006)

No changes recorded yet.