Stuart Rogan

Watch for changes

Where they hold approval

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

Heard Hamilton Financial Planning Ltd
FRN 720807
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
- [FCA CF] Client dealing (since 19 Nov 2020)
- CF30 Customer (1 Jun 2016 to 8 Dec 2019)
Sandringham Financial Partners Limited (no longer approved here)
FRN 581304
- CF30 Customer (1 May 2014 to 31 Dec 2014)
Personal Touch Financial Services Limited (no longer approved here)
FRN 187834
- CF30 Customer (17 Dec 2007 to 5 Apr 2009)
Ontrack Financial Services (no longer approved here)
FRN 195886
- (6)Employed By (26 Aug 2004 to 27 Nov 2007)
Aviva Investors UK Fund Services Limited (no longer approved here)
FRN 119310
- CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

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.