John Paul Edmund Rourke

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.

  • TUDOR FINANCIAL OPTIONS LIMITED

    FRN 459623

    • 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 1 Jan 2021)
    • [FCA CF] Significant management (since 1 Jan 2021)
    • [FCA CF] Manager of certification employee (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jan 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (10 Jan 2007 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (10 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Jan 2007 to 8 Dec 2019)
    • CF1 Director (10 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
  • First Complete Limited (no longer approved here)

    FRN 435779

    • CF1 Director (AR) (10 May 2010 to 28 Jan 2011)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (12 Oct 2005 to 2 Apr 2007)
  • Tudor Financial Options Limited (no longer approved here)

    FRN 187062

    • Employed By (22 Mar 2002 to 16 Oct 2002)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF21 Investment Adviser (1 Dec 2001 to 16 Oct 2002)

Recent activity

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

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