Richard Upton

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 16 Oct 2024)
    • CF30 Customer (since 11 Oct 2024)
  • Quilter Financial Advisers Ltd

    FRN 452529

    • (237)Employed By (since 11 Oct 2024)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • Appointed representative dealing with clients for which they require qualification (23 Jun 2022 to 18 Oct 2024)
    • [FCA CF] Client dealing (23 Jun 2022 to 18 Oct 2024)
    • [FCA CF] Functions requiring qualifications (23 Jun 2022 to 18 Oct 2024)
    • CF30 Customer (10 Jun 2022 to 18 Oct 2024)
  • Ashmax Limited (no longer approved here)

    FRN 723086

    • (3)Employed By (10 Jun 2022 to 18 Oct 2024)

Recent activity

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

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