Martin Rocks

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • [FCA CF] Functions requiring qualifications (since 4 Jun 2025)
    • [FCA CF] Client dealing (since 4 Jun 2025)
  • Quilter Financial Planning Solutions Limited

    FRN 184591

    • 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)
    • [FCA CF] Client dealing (since 9 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (25 Feb 2022 to 9 Jan 2024)
    • CF30 Customer (6 Aug 2008 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 16 Jul 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

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