Roger Roberts

Last updated
2 weeks ago
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Where they hold approval

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

  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY

    FRN 114724

    • 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 25 Oct 2022)
  • Coutts & Company

    FRN 122287

    • 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 25 Oct 2022)
  • TIMOTHY JAMES & PARTNERS LIMITED (no longer approved here)

    FRN 179854

    • [FCA CF] Client dealing (9 Dec 2019 to 14 Oct 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Oct 2021)
    • CF30 Customer (29 Apr 2019 to 8 Dec 2019)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • CF1 Director (AR) (7 Jun 2017 to 12 Apr 2019)
    • CF30 Customer (7 Jun 2017 to 12 Apr 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (17 Nov 2009 to 6 Mar 2016)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2002)

Recent activity

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

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