Richard Steiner Harris

Last updated
2 days ago
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Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 24 Jun 2022)
    • [FCA CF] Client dealing (since 24 Jun 2022)
    • CF30 Customer (22 Dec 2016 to 9 Mar 2018)
  • 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 1 Jun 2022)
    • CF30 Customer (29 Dec 2010 to 8 Jul 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (21 Jan 2015 to 3 Jun 2015)
  • Compass Financial Planning Ltd (no longer approved here)

    FRN 650558

    • Employed By (14 Jan 2015 to 3 Jun 2015)
  • Gallagher Risk & Reward Limited (no longer approved here)

    FRN 184711

    • CF30 Customer (1 Jun 2014 to 9 Jan 2015)
  • Mardon Financial Advisers Limited (no longer approved here)

    FRN 538272

    • (5)Employed By (29 Dec 2010 to 8 Jul 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (14 Oct 2008 to 12 Apr 2010)

Recent activity

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

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