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.

  • Lloyd Davies

    IRN LSD01017

    • 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 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 28 Jan 2022)
    • Appointed representative dealing with clients for which they require qualification (since 28 Jan 2022)
    • [FCA CF] Client dealing (since 28 Jan 2022)
    • CF30 Customer (since 28 Jan 2022)
  • Mark Addison Vail

    IRN MAV00011

    • SMF27 Partner (9 Dec 2019 to 25 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 May 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2024)
    • CF11 Money Laundering Reporting (30 Sep 2019 to 8 Dec 2019)
    • CF4 Partner (24 Feb 2016 to 8 Dec 2019)
    • CF30 Customer (1 Feb 2016 to 8 Dec 2019)
  • Mark Roe

    IRN MXR02797

    • 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
    • CF30 Customer (since 16 Dec 2023)
    • CF1 Director (AR) (since 16 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 16 Dec 2023)
    • [FCA CF] Client dealing (since 16 Dec 2023)
    • Appointed representative dealing with clients for which they require qualification (since 16 Dec 2023)
  • Matthew Horrocks

    IRN MXH02529

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2024)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Apr 2023 to 8 Jul 2024)
    • CF4 Partner (7 Feb 2014 to 8 Dec 2019)
  • Matthew Keith Frary

    IRN MKF00001

    • 11. Pension transfer specialist
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (since 17 Sep 2019)
    • CF30 Customer (since 17 Sep 2019)
  • Matthew Milan Millard

    IRN MXM00171

    • 9A. Advising on P2P agreements
    • 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
    • Appointed representative dealing with clients for which they require qualification (since 26 Apr 2021)
    • CF1 Director (AR) (since 26 Apr 2021)
    • CF30 Customer (since 26 Apr 2021)
    • [FCA CF] Client dealing (since 26 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 26 Apr 2021)
  • Matthew Richard Kiddle

    IRN MRK01057

    • 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 17 Oct 2024)
    • [FCA CF] Client dealing (since 17 Oct 2024)
    • Appointed representative dealing with clients for which they require qualification (since 17 Oct 2024)
    • CF1 Director (AR) (since 4 Oct 2024)
    • CF30 Customer (since 4 Oct 2024)
  • Nicholas James Hutchings

    IRN NJH00046

    • 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 29 Apr 2024)
    • Appointed representative dealing with clients for which they require qualification (since 29 Apr 2024)
    • CF1 Director (AR) (since 29 Apr 2024)
    • CF30 Customer (since 29 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 29 Apr 2024)
  • Nicola Floyd

    IRN NXF01097

    • CF1 Director (AR) (since 28 Feb 2026)
  • Owen Thomas Williams

    IRN OTW01001

    • 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 20 Nov 2020)
    • Appointed representative dealing with clients for which they require qualification (since 20 Nov 2020)
    • [FCA CF] Client dealing (since 20 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 20 Nov 2020)
    • CF30 Customer (since 20 Nov 2020)
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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.

No changes recorded yet.