Ricky Clark

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.

  • Henderson Loggie Financial Planning Limited

    FRN 192409

    • 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 19 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Apr 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Feb 2014 to 8 Dec 2019)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 30 Dec 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (14 Sep 2009 to 16 Sep 2010)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 11 Sep 2009)
    • CF22 Investment Adviser (Trainee) (20 Jul 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (19 Jul 2006 to 4 Jul 2007)

Recent activity

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

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