William Patrick Rice

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • McAlpine Brown Smyth Ltd

    FRN 975085

    • 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 3 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Jan 2023)
    • SMF3 Executive Director (since 3 Jan 2023)
    • [FCA CF] Client dealing (since 3 Jan 2023)
  • J & E Davy (UK) Limited (no longer approved here)

    FRN 172140

    • CF30 Customer (22 Nov 2012 to 28 Jul 2016)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (31 Aug 2012 to 4 Oct 2012)
  • Bloomfield Corporate Consultancy Limited (no longer approved here)

    FRN 586668

    • (1)Employed By (31 Aug 2012 to 4 Oct 2012)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (29 Mar 2012 to 2 Jul 2012)

Recent activity

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

  1. controlled function removed: Employed By at Bloomfield Corporate Consultancy Limited

  2. controlled function added: (1)Employed By at Bloomfield Corporate Consultancy Limited