Richard John Walsh

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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 22 Feb 2016)
- CF1 Director (AR) (since 22 Feb 2016)
Goldsmith Wealth Management Limited
FRN 736364
- (2)Employed By (since 22 Feb 2016)
Active Financial Partners Limited (no longer approved here)
FRN 301860
- CF30 Customer (24 Sep 2015 to 9 Oct 2015)
Openwork Limited (no longer approved here)
FRN 408285
- CF21 Investment Adviser (1 Jun 2005 to 16 Dec 2005)
Hanover De Broke Private Clients LLP (no longer approved here)
FRN 216324
- (5)Employed By (23 Aug 2002 to 16 Dec 2005)

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.