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.

  • Philip Wheeler Stockton

    IRN PXS10197

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 18 Jan 2019)
    • CF30 Customer (since 11 Jan 2019)
  • Robert Michael Smith

    IRN RMS01172

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 30 Jan 2026)
    • [FCA CF] Client dealing (since 30 Jan 2026)
    • [FCA CF] Functions requiring qualifications (since 30 Jan 2026)
    • CF30 Customer (since 20 Jan 2026)
    • CF1 Director (AR) (since 20 Jan 2026)
  • Sarah Fisher

    IRN SXF00533

    • CF1 Director (AR) (since 16 Apr 2025)
  • Steven Anthony Williams

    IRN SAW00080

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • CF1 Director (AR) (since 29 Jan 2021)
    • Appointed representative dealing with clients for which they require qualification (since 29 Jan 2021)
    • CF30 Customer (since 29 Jan 2021)
    • [FCA CF] Client dealing (since 29 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 29 Jan 2021)
  • Thomas Redmayne

    IRN TXR00220

    • 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] Functions requiring qualifications (since 26 Apr 2023)
    • Appointed representative dealing with clients for which they require qualification (since 26 Apr 2023)
    • CF30 Customer (since 26 Apr 2023)
    • [FCA CF] Client dealing (since 26 Apr 2023)
  • Timothy Horrocks

    IRN TDH01041

    • 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
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Nov 2025 to 11 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jun 2020)
    • CF1 Director (AR) (15 May 2019 to 11 Dec 2024)
    • Responsible for Insurance Mediation (7 Feb 2014 to 30 Sep 2018)
    • CF4 Partner (7 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Feb 2014 to 8 Dec 2019)

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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