Samuel David Connor

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.

  • Rosart Holdings Limited

    FRN 845232

    • 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] Client dealing (since 3 Feb 2020)
    • SMF3 Executive Director (since 3 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Feb 2020)
    • SMF16 Compliance Oversight (since 3 Feb 2020)
    • Responsible for Insurance Distribution (since 3 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Feb 2020)
    • Appointed representative dealing with clients for which they require qualification (3 Feb 2020 to 4 Feb 2020)
  • Connor Broadley Ltd (no longer approved here)

    FRN 468321

    • CF30 Customer (1 Feb 2011 to 20 Jul 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (21 Oct 2008 to 6 Nov 2008)
  • BERKELEY, BURKE & COMPANY LIMITED (no longer approved here)

    FRN 115053

    • CF30 Customer (1 Nov 2007 to 1 Feb 2011)
    • CF22 Investment Adviser (Trainee) (3 Sep 2007 to 31 Oct 2007)

Recent activity

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

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