Stephen John Rooker

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.

  • Financial Goal Attainment Limited

    FRN 627917

    • 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 13 Jan 2025)
    • [FCA CF] Client dealing (since 13 Jan 2025)
    • [FCA CF] Client dealing (29 Apr 2024 to 2 Dec 2024)
    • [FCA CF] Functions requiring qualifications (29 Apr 2024 to 2 Dec 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (24 Feb 2015 to 9 Jul 2015)
    • CF30 Customer (20 Nov 2012 to 9 Jul 2015)
  • Chelster Wealth Management Limited (no longer approved here)

    FRN 591508

    • Employed By (20 Nov 2012 to 9 Jul 2015)

Recent activity

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

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