Caroline Griffiths

FRN: 401793
Last scraped: 3 weeks ago

This firm operates as an appointed representative of St. James's Place Wealth Management Plc. Its regulated business runs under their FCA authorisation, and they're legally responsible for what it does.

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

116 Brompton Road

Knightsbridge

London

SW3 1JJ

UNITED KINGDOM

Phone

+4403456461171

Web

https://rosebankwealth.co.uk

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Penelope Jane Rawlings
IRN PJE01071
- Employed By (7 Nov 2012 to 20 Jun 2013)
Philip Anthony Hall
IRN PAH00108
- Employed By (15 Jun 2005 to 14 May 2010)
Rachel Louise Hampshire
IRN RXH01586
- Employed By (16 Aug 2012 to 9 Mar 2020)
Terry Knight
IRN TXK00002
- Employed By (12 Apr 2006 to 20 Apr 2007)

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.