Mark David Rodgers

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Dec 2020)
    • [FCA CF] Client dealing (since 18 Dec 2020)
    • CF30 Customer (10 Jul 2015 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Mar 2010 to 1 Oct 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (15 May 2009 to 28 Feb 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (3 Mar 2003 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (24 Sep 2002 to 3 Mar 2003)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)
  • RBS Collective Investment Funds Limited (no longer approved here)

    FRN 122139

    • CF21 Investment Adviser (1 Dec 2001 to 4 Sep 2002)

Recent activity

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

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