Peter Rooney

Last updated
1 week ago
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Where they hold approval

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

  • Peter Rooney

    FRN 912035

    • 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 Dec 2020)
    • SMF16 Compliance Oversight (since 1 Jul 2020)
    • Sole trader dealing with clients for which they require qualification (since 1 Jul 2020)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 26 Oct 2011)
    • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 May 2007 to 21 May 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jun 2007)

Recent activity

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

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