Simon Richards

Last updated
6 days ago
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Where they hold approval

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

  • JEM Financial Planning Ltd

    FRN 930071

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Client dealing (since 14 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (5 May 2017 to 2 Dec 2020)
  • Swann Financial Limited (no longer approved here)

    FRN 451053

    • (6)Employed By (5 May 2017 to 2 Dec 2020)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 13 Oct 2009)
    • CF21 Investment Adviser (3 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Oct 2005 to 3 Mar 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (24 Jan 2002 to 10 Oct 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 Jan 2002)

Recent activity

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

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