Roger James Small

Last updated
3 weeks ago
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Where they hold approval

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

  • Key Retirement Solutions Limited (no longer approved here)

    FRN 224987

    • CF30 Customer (1 Nov 2007 to 18 Dec 2009)
    • CF21 Investment Adviser (22 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 May 2006 to 22 Aug 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (2 Dec 2004 to 12 May 2006)
    • CF22 Investment Adviser (Trainee) (22 Apr 2004 to 2 Dec 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (4 Dec 2003 to 4 Mar 2004)
    • CF22 Investment Adviser (Trainee) (28 Oct 2002 to 4 Dec 2003)

Recent activity

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

No changes recorded yet.