Alan William Roe

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.

  • ValidPath Limited

    FRN 197107

    • 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 28 May 2024)
    • CF30 Customer (since 17 May 2024)
  • CC Financial Management Ltd

    FRN 986636

    • Employed By (since 17 May 2024)
  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Apr 2023)
    • CF30 Customer (17 Sep 2019 to 8 Dec 2019)
  • SUCCESSION WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 588378

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Apr 2023)
    • CF30 Customer (17 Sep 2019 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (1 Dec 2001 to 11 Aug 2003)
  • LMS Mortgage Consultants Ltd (no longer approved here)

    FRN 126020

    • Employed By (4 Aug 1999 to 11 Aug 2003)

Recent activity

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

No changes recorded yet.