Where they hold approval

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

    • 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)
    • [FCA CF] Functions requiring qualifications (since 31 Jan 2025)
    • [FCA CF] Client dealing (since 31 Jan 2025)
    • Appointed representative dealing with clients for which they require qualification (31 Jan 2025 to 24 Apr 2025)
    • [PRA CF] Key function holder (31 Jan 2025 to 24 Apr 2025)
    • 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)
    • [FCA CF] Functions requiring qualifications (since 22 Apr 2024)
    • [FCA CF] Client dealing (since 22 Apr 2024)
  • CLEARVIEW INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 540867

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jul 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jul 2021)
    • CF30 Customer (12 Sep 2011 to 8 Dec 2019)
  • RICHARD KEEN (INSURANCE BROKERS) LIMITED (no longer approved here)

    FRN 116686

    • CF30 Customer (1 Nov 2007 to 8 Oct 2008)
    • CF21 Investment Adviser (11 Jun 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 14 Sep 2008)
    • CF21 Investment Adviser (26 May 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 May 2004 to 26 May 2005)

Recent activity

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

No changes recorded yet.