Richard Pert

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.

  • GHC CAPITAL MARKETS LTD.

    FRN 152998

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 27 Mar 2023)
    • [FCA CF] Client dealing (since 27 Mar 2023)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (12 Nov 2014 to 1 Apr 2016)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • CF30 Customer (15 Jul 2013 to 9 May 2014)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF30 Customer (23 Dec 2011 to 12 Sep 2012)

Recent activity

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

No changes recorded yet.