Richard Miles Broughton

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Jan 2025)
    • CF1 Director (AR) (20 Nov 2013 to 29 Jan 2025)
    • CF30 Customer (1 Nov 2007 to 29 Jan 2025)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • AAGSJP Ltd (no longer approved here)

    FRN 402015

    • (18)Employed By (29 Sep 2004 to 29 Jan 2025)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

  1. controlled function removed: Employed By at AAGSJP Ltd

  2. controlled function added: (18)Employed By at AAGSJP Ltd