Nicola Shirley Rodgers

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Kerr Henderson (Financial Services) Limited

    FRN 125322

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 22 May 2024)
    • SMF3 Executive Director (since 7 May 2021)
    • SMF16 Compliance Oversight (since 7 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 May 2021)
    • [FCA CF] Manager of certification employee (since 1 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 11 Jul 2016)
    • CF21 Investment Adviser (1 Oct 2002 to 31 Oct 2007)
  • Moore Stephens Financial Services (NI) Limited (no longer approved here)

    FRN 607947

    • Employed By (7 Oct 2013 to 11 Jul 2016)
  • The Open Market Annuity Service Ltd (no longer approved here)

    FRN 469018

    • Employed By (9 Dec 2009 to 8 Dec 2019)
  • Kerr Henderson (Consultants and Actuaries) Ltd (no longer approved here)

    FRN 188411

    • Employed By (12 Jul 2004 to 11 Jul 2016)

Recent activity

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

No changes recorded yet.