Richard Steven Clarke

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.

  • CHARTWELL FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 189602

    • [FCA CF] Client dealing (9 Dec 2019 to 2 Jul 2021)
    • SMF3 Executive Director (9 Dec 2019 to 2 Jul 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jul 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (18 Jan 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (18 Jan 2002 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (10 Dec 2001 to 18 Jan 2002)
    • CF11 Money Laundering Reporting (10 Dec 2001 to 18 Jan 2002)
    • CF10 Compliance Oversight (10 Dec 2001 to 18 Jan 2002)
  • Bollington Financial Planning Ltd (no longer approved here)

    FRN 424482

    • Employed By (3 Jul 2008 to 10 Dec 2018)

Recent activity

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

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