Richard James Bugg

Last updated
1 week ago
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Where they hold approval

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

  • HDH Investment Services Limited

    FRN 733137

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 21 Apr 2025)
    • [FCA CF] Client dealing (since 21 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Apr 2025)
    • SMF16 Compliance Oversight (since 15 Apr 2025)
    • SMF3 Executive Director (since 15 Apr 2025)
  • True Potential Wealth Management LLP

    FRN 529810

    • 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
    • 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] Client dealing (since 11 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 11 Aug 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Oct 2021)
    • CF1 Director (AR) (31 Mar 2016 to 29 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 29 Oct 2021)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.