Mark Roe

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
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 16 Dec 2023)
    • CF1 Director (AR) (since 16 Dec 2023)
    • CF30 Customer (since 16 Dec 2023)
    • [FCA CF] Client dealing (since 16 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 16 Dec 2023)
  • Rockwealth Wharfedale Ltd

    FRN 1006389

    • (1)Employed By (since 16 Dec 2023)
  • Bartlett Wealth Management Ltd (no longer approved here)

    FRN 114800

    • [FCA CF] Client dealing (25 Apr 2022 to 7 Sep 2023)
    • [FCA CF] Functions requiring qualifications (25 Apr 2022 to 7 Sep 2023)
  • Attivo Financial Services Limited (no longer approved here)

    FRN 462105

    • Appointed representative dealing with clients for which they require qualification (5 Oct 2021 to 9 Mar 2022)
    • [FCA CF] Functions requiring qualifications (5 Oct 2021 to 9 Mar 2022)
    • CF30 Customer (30 Sep 2021 to 9 Mar 2022)
  • Attivo Financial Planning Limited (no longer approved here)

    FRN 451967

    • Employed By (30 Sep 2021 to 9 Mar 2022)
  • Attivo Financial Limited (no longer approved here)

    FRN 497130

    • [FCA CF] Client dealing (9 Sep 2021 to 9 Mar 2022)
    • [FCA CF] Functions requiring qualifications (9 Sep 2021 to 9 Mar 2022)

Recent activity

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

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