St John Nicholas Rollo Gardner

Watch for changes

Where they hold approval

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

Ascot Lloyd Investment Management Limited
FRN 650245
- SMF3 Executive Director (since 14 Jan 2026)
RBC Europe Limited (no longer approved here)
FRN 124543
- [FCA CF] Client dealing (4 Nov 2024 to 4 Jan 2026)
- [FCA CF] Functions requiring qualifications (4 Nov 2024 to 4 Jan 2026)
- [FCA CF] Manager of certification employee (4 Nov 2024 to 4 Jan 2026)
ARBUTHNOT LATHAM & CO., LIMITED (no longer approved here)
FRN 143336
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF27 Investment Management (23 Nov 2005 to 31 Oct 2007)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF27 Investment Management (1 Dec 2001 to 28 Jun 2005)

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.