Richard Moor

Watch for changes

Where they hold approval

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

Linley Black Wealth Management Ltd (no longer approved here)
FRN 620827
- (7)Employed By (10 Nov 2020 to 12 Aug 2021)
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 12 Aug 2021)
- CF1 Director (AR) (17 Jun 2019 to 16 Feb 2021)
- CF30 Customer (17 Jun 2019 to 12 Aug 2021)
FACET INVESTMENT MANAGEMENT LTD (no longer approved here)
FRN 131372
- CF30 Customer (14 Jan 2011 to 1 Dec 2011)
TUDOR FINANCIAL OPTIONS LIMITED (no longer approved here)
FRN 459623
- CF30 Customer (7 Mar 2008 to 31 May 2011)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 6 Jul 2008)
- CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

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.