Richard Rich

Last updated
2 weeks ago
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Where they hold approval

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

  • BAKER FINANCIAL PLANNING LTD

    FRN 457112

    • 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
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (16 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (16 Jul 2007 to 31 Oct 2007)
  • Assured Benefit Consultants (1386) (no longer approved here)

    FRN 165860

    • Employed By (3 Dec 2002 to 2 Aug 2003)

Recent activity

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

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