Richard Thomas Allen

Watch for changes

Where they hold approval

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

PROFILE FINANCIAL SOLUTIONS LTD (no longer approved here)
FRN 596398
- [FCA CF] Functions requiring qualifications (16 Mar 2020 to 2 Jun 2020)
- [FCA CF] Client dealing (16 Mar 2020 to 2 Jun 2020)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- CF30 Customer (9 Sep 2013 to 12 Nov 2014)
Prudential Distribution Limited (no longer approved here)
FRN 194709
- CF30 Customer (16 Jan 2012 to 9 Sep 2013)
WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 134753
- CF30 Customer (13 Aug 2008 to 12 Jan 2012)
Harvest Associates Ltd (no longer approved here)
FRN 228757
- (21)Employed By (16 Mar 2006 to 4 May 2007)
RLUM Limited (no longer approved here)
FRN 144032
- CF22 Investment Adviser (Trainee) (3 Dec 2004 to 30 Sep 2005)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 8 Feb 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.