Catherine Anne Roots

Watch for changes

Where they hold approval

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

Baggette & Company Wealth Management Limited (no longer approved here)
FRN 522193
- CF30 Customer (16 Aug 2010 to 30 Jun 2011)
PFM Associates Limited (no longer approved here)
FRN 213724
- CF30 Customer (19 Aug 2009 to 3 Sep 2009)
Park Gate Financial Consultants (no longer approved here)
FRN 200180
- (4)Employed By (23 Dec 2002 to 31 Oct 2003)
Gareth Griffiths (no longer approved here)
FRN 195531
- (1)Employed By (29 Oct 2001 to 22 May 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.