Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rock Wealth LLP
FRN 610181
- 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
- CF1 Director (AR) (since 23 Jan 2023)
- [FCA CF] Client dealing (since 24 Nov 2022)
- Appointed representative dealing with clients for which they require qualification (since 24 Nov 2022)
- CF30 Customer (since 24 Oct 2022)
- [FCA CF] Functions requiring qualifications (since 24 Oct 2022)
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RockWealth Leeds Ltd
FRN 982423
- (1)Employed By (since 24 Oct 2022)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Nov 2022)
- CF30 Customer (4 Jun 2019 to 3 Nov 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.