Samuel Bryans

Last updated
1 week ago
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Where they hold approval

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

  • Richmond Wealth & Investment Limited

    FRN 829742

    • SMF16 Compliance Oversight (since 1 Jul 2021)
    • SMF3 Executive Director (since 1 Jul 2021)
    • [FCA CF] Functions requiring qualifications (1 Sep 2021 to 12 Jul 2023)
    • [FCA CF] Client dealing (1 Sep 2021 to 12 Jul 2023)
    • Responsible for Insurance Distribution (1 Jul 2021 to 20 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jul 2021 to 20 Jul 2023)
    • SMF29 Limited scope function (limited scope SMCR firms only) (1 Jul 2021 to 1 Jul 2021)
  • Richmond Wealth LLP

    FRN 600308

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (7 Oct 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (7 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
    • CF4 Partner (7 Oct 2013 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (22 May 2013 to 2 Feb 2014)
    • CF1 Director (AR) (22 May 2013 to 2 Feb 2014)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (22 May 2013 to 2 Feb 2014)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF24 Pension Transfer Specialist (8 Feb 2002 to 30 Sep 2004)
    • CF22 Investment Adviser (Trainee) (8 Feb 2002 to 10 Apr 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2004)

Recent activity

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

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