Thomas Richardson

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.

  • Richardson & Associates Independent Financial & Mortgage Services Limited

    FRN 809956

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 15 Oct 2018)
    • Responsible for Insurance Distribution (since 15 Oct 2018)
    • CF1 Director (15 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (15 Oct 2018 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 11 Oct 2018)
    • CF21 Investment Adviser (20 Sep 2004 to 31 Oct 2007)
    • CF1 Director (AR) (20 Sep 2004 to 11 Oct 2018)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (21 Jun 2004 to 21 Sep 2004)
    • CF22 Investment Adviser (Trainee) (5 May 2004 to 21 Jun 2004)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF22 Investment Adviser (Trainee) (5 May 2004 to 21 Jun 2004)
    • CF21 Investment Adviser (11 Nov 2002 to 20 Feb 2003)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF22 Investment Adviser (Trainee) (5 May 2004 to 21 Jun 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2003)

Recent activity

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

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