Geoff Rowland

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.

  • Geoff Rowland

    FRN 529322

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (5 Nov 2010 to 5 Nov 2010)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Nov 2010)
    • CF21 Investment Adviser (4 Mar 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Oct 2003 to 4 Mar 2004)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Jun 2003 to 27 Apr 2004)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (596)Employed By (19 Jun 2003 to 27 Apr 2004)

Recent activity

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

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