Katherine Ellen Rogers

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.

  • Schroder Investment Management Limited

    FRN 119348

    • [FCA CF] Client dealing (since 19 Dec 2023)
    • CF30 Customer (1 Nov 2007 to 14 Jan 2013)
    • CF27 Investment Management (12 May 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (12 May 2006 to 31 Oct 2007)
  • SCHRODER & CO. LIMITED

    FRN 144206

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Manager of certification employee (since 2 Mar 2020)
    • [FCA CF] Client dealing (since 2 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
    • [FCA CF] Material risk taker (26 Sep 2022 to 14 Jan 2024)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (7 Jun 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (7 Jun 2005 to 31 Oct 2007)
  • EVOLUTION WEALTH NETWORK LIMITED (no longer approved here)

    FRN 591218

    • CF1 Director (AR) (5 Oct 2022 to 22 Aug 2023)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF30 Customer (1 Nov 2007 to 14 Jan 2013)
    • CF21 Investment Adviser (12 May 2006 to 31 Oct 2007)
    • CF27 Investment Management (12 May 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.