Richard William Penn

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.

  • MC Wealth Management (UK) Limited

    FRN 629639

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (26 Oct 2017 to 8 Dec 2019)
    • CF30 Customer (4 Feb 2015 to 8 Dec 2019)
  • Grand United Order of Oddfellows Friendly Society (no longer approved here)

    FRN 109993

    • SIMF25 Small Insurer Senior Manager (7 Mar 2016 to 13 Nov 2018)
    • CF6 Small Friendly Society (20 Apr 2006 to 6 Mar 2016)
  • Atomos Financial Planning Limited (no longer approved here)

    FRN 193503

    • CF30 Customer (2 Mar 2009 to 2 May 2014)

Recent activity

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

No changes recorded yet.