Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rosemount Financial Solutions (IFA) Limited
FRN 535515
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 10 Jun 2024)
- [FCA CF] Client dealing (since 6 Jun 2024)
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- [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Jun 2024)
- SMF27 Partner (9 Dec 2019 to 10 Jun 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2024)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Jun 2024)
- Responsible for Insurance Distribution (21 Nov 2019 to 10 Jun 2024)
- Responsibility for MCD Intermediation (21 Mar 2016 to 10 Jun 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (23 Feb 2007 to 9 Jun 2008)
- CF4 Partner (4 Jan 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (4 Jan 2005 to 8 Dec 2019)
- CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.