Christopher Luke Exley

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.

  • Rosemount Financial Solutions (IFA) Limited

    FRN 535515

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 16 Sep 2025)
    • CF1 Director (AR) (since 8 Sep 2025)
    • CF30 Customer (since 8 Sep 2025)
    • [FCA CF] Client dealing (since 30 Jul 2025)
    • [FCA CF] Functions requiring qualifications (20 Aug 2025 to 16 Sep 2025)
    • [FCA CF] Client dealing (23 Jul 2025 to 16 Sep 2025)
  • Caer IFA Ltd

    FRN 1040130

    • Employed By (since 8 Sep 2025)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (12 Jan 2021 to 22 Aug 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 22 Aug 2025)
    • CF30 Customer (8 Feb 2016 to 22 Aug 2025)
  • Exley Financial Planning Ltd (no longer approved here)

    FRN 216030

    • (3)Employed By (8 Feb 2016 to 22 Aug 2025)

Recent activity

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

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