Rohit Prajapati

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.

  • RTP MANAGEMENT LIMITED

    FRN 783290

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 2 Oct 2017)
    • CF11 Money Laundering Reporting (4 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Oct 2017 to 8 Dec 2019)
    • CF1 Director (2 Oct 2017 to 8 Dec 2019)
    • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Oct 2017 to 30 Sep 2018)
  • WILLDAY WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 802057

    • [FCA CF] Client dealing (1 Jan 2025 to 2 Jun 2025)
    • [FCA CF] Functions requiring qualifications (1 Jan 2025 to 2 Jun 2025)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (10 Nov 2014 to 1 Nov 2017)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (31 Mar 2013 to 24 Jun 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (27 Dec 2012 to 24 Jun 2013)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (21 Aug 2012 to 30 Sep 2013)
    • CF1 Director (AR) (21 Aug 2012 to 30 Sep 2013)
  • THE BOBBY DHANJAL PRACTICE LIMITED (no longer approved here)

    FRN 537673

    • CF30 Customer (1 Jul 2011 to 9 Jul 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (23 Nov 2009 to 14 Jun 2010)

Recent activity

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

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