Richard James Marks

Last updated
5 days ago
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Where they hold approval

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

  • Greentree Wealth Management Limited

    FRN 956993

    • 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 27 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 27 Jan 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (15 Jan 2004 to 30 Aug 2005)
    • CF22 Investment Adviser (Trainee) (12 Dec 2002 to 15 Jan 2004)

Recent activity

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

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