Adrian Michael Rooney

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • INVEST SOUTHWEST LIMITED

    FRN 469547

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 May 2013 to 8 Dec 2019)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 17 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (1 Nov 2007 to 16 Sep 2010)
    • CF21 Investment Adviser (26 Apr 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Oct 2006 to 26 Apr 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (22 Jan 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 22 Jan 2003)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (15 Aug 2001 to 19 Jul 2006)

Recent activity

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

No changes recorded yet.