Noemi Agnes Roos

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 27 Jan 2023)
    • [FCA CF] Client dealing (since 27 Jan 2023)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • [FCA CF] Functions requiring qualifications (13 Dec 2021 to 4 Nov 2022)
    • [FCA CF] Client dealing (13 Dec 2021 to 4 Nov 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (10 Nov 2020 to 6 Oct 2021)
    • CF30 Customer (8 Nov 2018 to 6 Oct 2021)
  • Caroline Griffiths (no longer approved here)

    FRN 401793

    • Employed By (8 Nov 2018 to 6 Oct 2021)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 28 Oct 2011)
    • CF22 Investment Adviser (Trainee) (30 Jun 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.