Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Rock Wealth LLP
FRN 610181
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- SMF27 Partner (since 13 Nov 2025)
- [FCA CF] Functions requiring qualifications (since 4 Oct 2021)
- [FCA CF] Client dealing (since 4 Oct 2021)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Sep 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 17 Sep 2021)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Sep 2021)
- CF30 Customer (31 Oct 2014 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.