Robert Herbert

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (10 Feb 2017 to 31 Jul 2018)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (20 Mar 2012 to 20 Jan 2017)
Phoenix Wealth Services Limited (no longer approved here)
FRN 465753
- CF30 Customer (23 Sep 2011 to 30 Mar 2012)
RLUM Limited (no longer approved here)
FRN 144032
- CF30 Customer (1 Nov 2007 to 28 Oct 2011)
- CF21 Investment Adviser (9 Feb 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (15 Aug 2002 to 9 Feb 2004)

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.