Roger Mills

Watch for changes

Where they hold approval

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

AJ Bell Securities Limited (no longer approved here)
FRN 155593
- CF30 Customer (12 Sep 2011 to 28 Sep 2018)
BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)
FRN 155595
- CF26 Customer Trading (21 Apr 2005 to 27 May 2005)
PERSHING SECURITIES LIMITED (no longer approved here)
FRN 146576
- CF26 Customer Trading (1 Dec 2001 to 6 Dec 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.