David Griffith Rogers

Last updated
2 days ago
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Where they hold approval

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

  • New Leaf Distribution Limited

    FRN 460421

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 3 Jan 2024)
    • Appointed representative dealing with clients for which they require qualification (since 3 Jan 2024)
    • CF30 Customer (since 24 Nov 2023)
  • David Griffith Rogers

    FRN 1005484

    • Employed By (since 24 Nov 2023)
  • Active Financial Partners Limited (no longer approved here)

    FRN 301860

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2023)
    • CF30 Customer (17 Sep 2009 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (22 Dec 2004 to 31 Dec 2006)
    • CF22 Investment Adviser (Trainee) (21 Sep 2002 to 22 Dec 2004)

Recent activity

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

No changes recorded yet.