Richard Kear

Last updated
6 days ago
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Where they hold approval

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

  • Cardinal Financial Planning and Wealth Management Limited

    FRN 978705

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 3 Oct 2023)
    • [FCA CF] Client dealing (since 3 Oct 2023)
    • SMF3 Executive Director (since 2 Oct 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Oct 2023)
    • SMF16 Compliance Oversight (since 2 Oct 2023)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Sep 2023)
    • CF1 Director (AR) (20 Jul 2015 to 29 Sep 2023)
    • CF30 Customer (20 Jul 2015 to 29 Sep 2023)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (20 Jul 2015 to 29 Sep 2023)
  • Cardinal Financial Planning and Wealth Management Ltd (no longer approved here)

    FRN 708800

    • Employed By (20 Jul 2015 to 29 Sep 2023)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (3 Feb 2012 to 24 Jun 2015)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 31 Jan 2012)
    • CF21 Investment Adviser (10 Nov 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 May 2002 to 10 Nov 2003)

Recent activity

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

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