Joseph Frederick Rose

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.

  • Robinson Rose Wealth Management Ltd

    FRN 980382

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Manager of certification employee (since 20 Mar 2023)
    • SMF16 Compliance Oversight (since 20 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Mar 2023)
    • SMF3 Executive Director (since 20 Mar 2023)
    • [FCA CF] Client dealing (since 20 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 20 Mar 2023)
    • Responsibility for MCD Intermediation (since 20 Mar 2023)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 22 Jul 2022)
    • [FCA CF] Client dealing (21 Dec 2020 to 22 Jul 2022)
    • CF30 Customer (1 Oct 2019 to 8 Dec 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (18 Nov 2010 to 22 Nov 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (7 May 2008 to 5 Nov 2010)

Recent activity

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

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