Richard James Mumford

Last updated
2 weeks ago
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Where they hold approval

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

  • RJM & Associates (Hampton) Limited

    FRN 602814

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
    • [FCA CF] Client dealing (since 30 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (AR) (since 15 Nov 2018)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 2 Dec 2013)
    • CF10 Compliance Oversight (2 Dec 2013 to 8 Dec 2019)
    • CF1 Director (2 Dec 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Dec 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Dec 2013 to 30 Sep 2018)
  • Roebuck Mortgages and Protection Limited

    FRN 825333

    • (1)Employed By (since 15 Nov 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (26 Apr 2013 to 2 Dec 2013)
    • CF1 Director (AR) (26 Apr 2013 to 2 Dec 2013)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF30 Customer (26 Apr 2013 to 2 Dec 2013)
    • CF1 Director (AR) (26 Apr 2013 to 2 Dec 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (24 Jan 2005 to 29 Dec 2005)

Recent activity

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

No changes recorded yet.