Roger Crockford

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.

  • FINANCIAL CONNECTIONS WEALTH MANAGEMENT LIMITED

    FRN 844316

    • 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] Functions requiring qualifications (since 4 May 2020)
    • Responsible for Insurance Distribution (since 4 May 2020)
    • SMF16 Compliance Oversight (since 4 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2020)
    • SMF3 Executive Director (since 4 May 2020)
    • [FCA CF] Client dealing (since 4 May 2020)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 4 May 2020)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
    • CF1 Director (AR) (19 Jan 2006 to 4 May 2020)
    • CF22 Investment Adviser (Trainee) (19 Jan 2006 to 26 Jun 2006)
  • CPPT Services Limited (no longer approved here)

    FRN 219808

    • CF1 Director (9 Aug 2004 to 11 Nov 2005)
    • CF21 Investment Adviser (9 Aug 2004 to 11 Nov 2005)
    • CF24 Pension Transfer Specialist (9 Aug 2004 to 11 Nov 2005)

Recent activity

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

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