Rosemary Anne Lakin

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Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 1 Nov 2007)
- CF4 Partner (AR) (8 Feb 2018 to 19 Dec 2020)
- CF22 Investment Adviser (Trainee) (24 Sep 2007 to 31 Oct 2007)
Sovereign Wealth Limited
FRN 471459
- (15)Employed By (since 23 Apr 2012)
Woolhouse Douglas Wealth Management Ltd (no longer approved here)
FRN 439590
- Employed By (24 Sep 2007 to 23 Apr 2012)

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.