David John Roberts

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.

  • The On-Line Partnership Limited

    FRN 192638

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 28 Aug 2008)
    • CF1 Director (AR) (since 28 Aug 2008)
  • DJR Financial Planning Ltd

    FRN 487596

    • (1)Employed By (since 28 Aug 2008)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (31 Aug 2017 to 30 Jul 2018)
  • First Complete Limited (no longer approved here)

    FRN 435779

    • CF1 Director (AR) (10 May 2010 to 15 Jun 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (31 Oct 2005 to 27 Mar 2007)
    • CF22 Investment Adviser (Trainee) (6 Jul 2005 to 31 Oct 2005)
  • Arnage Limited (no longer approved here)

    FRN 209813

    • Employed By (6 Jul 2005 to 27 Mar 2007)

Recent activity

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

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