Thomas James John Rooney

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.

  • One and All Financial Services Ltd

    FRN 672406

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF3 Executive Director (since 7 Dec 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (27 Jan 2021 to 14 Apr 2026)
    • CF30 Customer (15 Feb 2018 to 8 Dec 2019)
  • Chantler Kent Investments (no longer approved here)

    FRN 158927

    • CF1 Director (AR) (26 Jun 2018 to 16 Apr 2019)
    • CF30 Customer (24 Feb 2017 to 16 Apr 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 10 Jun 2009)
    • CF22 Investment Adviser (Trainee) (13 Aug 2007 to 31 Oct 2007)
  • Clarity Wealth Management (no longer approved here)

    FRN 471465

    • Employed By (13 Aug 2007 to 10 Jun 2009)
  • All Finanz (no longer approved here)

    FRN 414747

    • Employed By (9 Mar 2005 to 3 Feb 2006)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (7 May 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (18 Jul 2002 to 7 May 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (7 May 2003 to 3 Feb 2006)
    • CF22 Investment Adviser (Trainee) (18 Jul 2002 to 7 May 2003)

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

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