Robert David Worlock

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.

  • Harbourside Financial Ltd

    FRN 501208

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 2 Jan 2020)
    • [PRA CF] Significant risk taker or Material risk taker (since 2 Jan 2020)
    • [FCA CF] Manager of certification employee (since 2 Jan 2020)
    • [FCA CF] Material risk taker (since 2 Jan 2020)
    • [FCA CF] Proprietary trader (since 2 Jan 2020)
    • [FCA CF] Significant management (since 2 Jan 2020)
    • [PRA CF] Key function holder (since 2 Jan 2020)
    • [PRA CF] Managing a material risk taker (since 2 Jan 2020)
    • Director of firm who is not a certification employee or a SMF manager (since 2 Jan 2020)
    • Sole trader dealing with clients for which they require qualification (since 2 Jan 2020)
    • [FCA CF] Benchmark submission and administration (since 2 Jan 2020)
    • [FCA CF] CASS oversight function (since 2 Jan 2020)
    • [FCA CF] Client dealing (since 2 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 31 Jan 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (19 Jun 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 Jun 2009 to 30 Sep 2018)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF21 Investment Adviser (1 Dec 2001 to 17 Sep 2004)

Recent activity

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

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