Lloyd Davies

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.

  • Rock Wealth LLP

    FRN 610181

    • 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)
    • CF1 Director (AR) (since 3 Feb 2023)
    • Appointed representative dealing with clients for which they require qualification (since 28 Jan 2022)
    • CF30 Customer (since 28 Jan 2022)
    • [FCA CF] Client dealing (since 28 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 28 Jan 2022)
  • ROCKWEALTH ABERDEEN LTD

    FRN 968381

    • (1)Employed By (since 28 Jan 2022)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 28 Feb 2022)
    • [FCA CF] Client dealing (1 Oct 2021 to 28 Feb 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (28 Jan 2011 to 31 Jul 2012)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (1 Nov 2007 to 23 Dec 2010)
    • CF22 Investment Adviser (Trainee) (8 Jan 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.