ROCKWOOD FINANCIAL SOLUTIONS LIMITED

Date authorised
13 June 2013
Companies House
08274849
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Rockwood Financial Solutions
    Kingswood House
    80 Richardshaw Lane
    Stanningley
    Pudsey
    Leeds
    LS28 6BN
    UNITED KINGDOM
    Phone
    +443303322679
    Web
    https://www.rockwoodfs.co.uk

  • Complaints Contact

    Rockwood Financial Solutions
    Kingswood House
    80 Richardshaw Lane
    Stanningley
    Pudsey
    Leeds
    LS28 6BN
    UNITED KINGDOM
    Phone
    +443303322679

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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 Commercial, 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

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

  • Arranges Investments

    For Commercial, 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, 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, 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, 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.

  • Balraj Singh Sohanpall

    IRN BSS01065

    • CF30 Customer (15 Oct 2016 to 5 Feb 2019)
  • Catherine Louise Casey

    IRN CLT01029

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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 25 Feb 2020)
    • CF30 Customer (since 25 Feb 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 28 Oct 2016)
    • CF11 Money Laundering Reporting (13 Jun 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Jun 2013 to 30 Sep 2018)
    • CF1 Director (13 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jun 2013 to 8 Dec 2019)
    • CF30 Customer (13 Jun 2013 to 8 Dec 2019)
  • Darren Ashley Stone

    IRN DXS20390

    • CF1 Director (AR) (since 17 Sep 2019)
  • Jack Leon Posner

    IRN JXP20672

    • CF1 Director (AR) (since 24 Sep 2019)
  • Linda Jennifer Lodge

    IRN LXL00270

    • SMF3 Executive Director (since 26 Feb 2024)
  • Nicholas Cohen

    IRN NXC00021

    • CF30 Customer (15 Sep 2020 to 28 May 2022)
    • [FCA CF] Client dealing (3 Sep 2020 to 17 May 2022)
    • [FCA CF] Functions requiring qualifications (3 Sep 2020 to 17 May 2022)
    • Appointed representative dealing with clients for which they require qualification (3 Sep 2020 to 17 May 2022)
  • Parkash Singh Sohanpall

    IRN PSS01100

    • CF30 Customer (3 Mar 2014 to 20 Dec 2018)
  • Stephen Conway

    IRN SXC00017

    • CF30 Customer (28 Oct 2014 to 4 Feb 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.