Richard James Hallett

Last updated
3 weeks ago
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Where they hold approval

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

  • CANACCORD GENUITY ASSET MANAGEMENT LIMITED

    FRN 209741

    • SMF3 Executive Director (since 7 Jul 2021)
    • [FCA CF] Client dealing (since 2 Dec 2020)
    • [FCA CF] Significant management (5 Feb 2021 to 24 Apr 2025)
    • [FCA CF] Material risk taker (2 Dec 2020 to 24 Apr 2025)
    • [FCA CF] Manager of certification employee (2 Dec 2020 to 31 Oct 2023)
    • CF1 Director (2 Mar 2011 to 18 Sep 2017)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (16 Sep 2005 to 31 Oct 2007)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 9 Mar 2023)
    • [FCA CF] Client dealing (2 Dec 2020 to 27 Oct 2023)
    • CF30 Customer (27 Mar 2019 to 8 Dec 2019)

Recent activity

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

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