Richard Stuart Leach

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.

  • New Oak Wealth Management Limited

    FRN 440850

    • 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)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Apr 2022)
    • CF1 Director (AR) (7 Nov 2007 to 26 Apr 2022)
    • CF1 Director (7 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 26 Apr 2022)
    • CF21 Investment Adviser (5 Oct 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Mar 2006 to 5 Oct 2006)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (22 Dec 2004 to 28 Feb 2006)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (22 Dec 2004 to 28 Feb 2006)

Recent activity

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

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