Thomas Gordon Rolls

Watch for changes

Where they hold approval

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

Owen and Associates (no longer approved here)
FRN 146808
- CF30 Customer (29 Apr 2011 to 27 Jun 2011)
Alan Seward Financial Services Ltd (no longer approved here)
FRN 171337
- Employed By (29 Apr 2011 to 27 Jun 2011)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (1 Nov 2007 to 29 May 2009)
- CF21 Investment Adviser (14 Aug 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (18 Apr 2006 to 14 Aug 2006)
Succession Financial Management Limited (no longer approved here)
FRN 225831
- CF22 Investment Adviser (Trainee) (28 Feb 2006 to 28 Feb 2006)
Moneycare Financial Planning Limited (no longer approved here)
FRN 189734
- (3)Employed By (19 Jan 2004 to 10 Jun 2004)

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.