David John Rogers

Last updated
5 days ago
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Where they hold approval

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

  • Sustainable Wealth Management Ltd

    FRN 950809

    • 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
    • SMF3 Executive Director (since 17 Apr 2024)
    • [FCA CF] Client dealing (since 1 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2023)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 22 Mar 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Mar 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Mar 2024)
    • CF30 Customer (2 Aug 2016 to 22 Mar 2024)
    • CF1 Director (AR) (2 Aug 2016 to 22 Mar 2024)
  • Cheshire Wealth Partnership Ltd (no longer approved here)

    FRN 605920

    • Employed By (1 Jul 2014 to 18 Jul 2016)
  • James Trickett & Son (Financial Services) Ltd (no longer approved here)

    FRN 182689

    • (6)Employed By (15 Jul 2013 to 17 Jun 2014)

Recent activity

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

No changes recorded yet.