Richard John Knott

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 28 Nov 2018)
- CF30 Customer (since 28 Nov 2018)
Kirby & Knott Financial Planning Ltd
FRN 826683
- (3)Employed By (since 28 Nov 2018)
Santander UK Plc (no longer approved here)
FRN 106054
- [FCA CF] Functions requiring qualifications (25 Aug 2017 to 4 Jan 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.