Roger Keith O'Shea

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.

  • Pharon Independent Financial Advisers Limited (no longer approved here)

    FRN 138169

    • SMF1 Chief Executive (9 Dec 2019 to 30 Aug 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2021)
    • SMF3 Executive Director (9 Dec 2019 to 30 Aug 2021)
    • CF28 Systems and controls (20 Oct 2009 to 8 Dec 2019)
    • CF29 Significant management (20 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 11 Oct 2004)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2001 to 11 Oct 2004)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.