Richard Guy Roberts

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Where they hold approval

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

KROLL SECURITIES LTD.
FRN 466588
- CF1 Director (AR) (since 22 May 2023)
- CF30 Customer (since 15 Aug 2021)
Arrow Global Massey Limited
FRN 718325
- SMF3 Executive Director (since 7 Oct 2021)
- [FCA CF] Significant management (9 Dec 2020 to 1 Jan 2022)
Arrow Global Adviser Limited
FRN 953341
- (11)Employed By (since 15 Aug 2021)
GE Vernova Financial Services Limited (no longer approved here)
FRN 194522
- CF23 Corporate Finance Adviser (3 Mar 2004 to 16 Jan 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.