Rock Wealth LLP

Date authorised
7 February 2014
Companies House
OC387227
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3 Imperial Square
    Cheltenham
    Glos
    GL50 1QB
    UNITED KINGDOM
    Phone
    +4401242505505
    Web
    https://rock-wealth.co.uk

  • Complaints Contact

    3 Imperial Square
    Cheltenham
    Glos
    GL50 1QB
    UNITED KINGDOM
    Phone
    +4401242505505

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Advice (no pensions)

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Alison Jane Dart

    IRN AXD27037

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 4 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Dec 2025)
    • Appointed representative dealing with clients for which they require qualification (since 4 Dec 2025)
    • CF1 Director (AR) (since 27 Nov 2025)
    • CF30 Customer (since 27 Nov 2025)
  • Andrew James Collett

    IRN AJC01418

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Manager of certification employee (since 26 Mar 2026)
    • Appointed representative dealing with clients for which they require qualification (since 26 Mar 2026)
    • [FCA CF] Client dealing (since 26 Mar 2026)
    • [FCA CF] Functions requiring qualifications (since 26 Mar 2026)
    • CF1 Director (AR) (since 13 Feb 2026)
    • CF30 Customer (since 13 Feb 2026)
  • Brandon Lamam

    IRN BXL15560

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 23 Jan 2023)
    • Appointed representative dealing with clients for which they require qualification (since 24 Nov 2022)
    • [FCA CF] Client dealing (since 24 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 24 Oct 2022)
    • CF30 Customer (since 24 Oct 2022)
  • Chris Peter Wallsgrove

    IRN CPW01086

    • 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)
    • CF30 Customer (since 5 Nov 2021)
    • Appointed representative dealing with clients for which they require qualification (since 5 Nov 2021)
    • CF1 Director (AR) (since 5 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2021)
    • [FCA CF] Client dealing (since 5 Nov 2021)
  • Daniel Philip Boden

    IRN DPB01132

    • [FCA CF] Client dealing (2 Aug 2021 to 28 Sep 2023)
    • [FCA CF] Functions requiring qualifications (2 Aug 2021 to 28 Sep 2023)
  • David Russell Farquharson Bowen

    IRN DXB01798

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 19 Aug 2024)
    • CF30 Customer (since 19 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Aug 2024)
    • Appointed representative dealing with clients for which they require qualification (since 9 Aug 2024)
    • [FCA CF] Client dealing (since 9 Aug 2024)
  • Dylan Franklin Ellis

    IRN DXE00169

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 2 Feb 2026)
    • Appointed representative dealing with clients for which they require qualification (since 2 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 2 Feb 2026)
    • CF30 Customer (since 16 Jan 2026)
    • CF1 Director (AR) (since 16 Jan 2026)
  • Edward John Blackett

    IRN EJB01141

    • 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
    • SMF27 Partner (since 13 Nov 2025)
    • [FCA CF] Client dealing (since 4 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 4 Oct 2021)
  • Hetty Amy Margaret Rene Hyde-Durrant

    IRN HXH00237

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 28 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 28 Aug 2025)
  • James Peter Curry

    IRN JXC20078

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • CF1 Director (AR) (since 3 Jun 2025)
    • CF30 Customer (since 3 Jun 2025)
    • [FCA CF] Client dealing (since 3 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (since 3 Jun 2025)
    • [FCA CF] Functions requiring qualifications (since 2 Jun 2025)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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