Thomas James O'Rourke

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.

  • MEDICAL + DENTAL FINANCIAL PLANNING SERVICES LTD

    FRN 625541

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 20 Aug 2024)
    • [FCA CF] Client dealing (since 20 Aug 2024)
  • Legal & General Financial Advice Ltd (no longer approved here)

    FRN 839860

    • [FCA CF] Functions requiring qualifications (25 Nov 2022 to 14 Jun 2024)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Client dealing (14 Dec 2021 to 20 Oct 2022)
    • [FCA CF] Functions requiring qualifications (14 Dec 2021 to 20 Oct 2022)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • [FCA CF] Client dealing (20 Dec 2019 to 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (20 Dec 2019 to 1 Jan 2021)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • [FCA CF] Client dealing (11 Nov 2019 to 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (11 Nov 2019 to 1 Jan 2021)
    • CF30 Customer (7 Jan 2016 to 9 Dec 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (16 Aug 2012 to 10 Jan 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (26 Jul 2011 to 20 Jul 2012)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (5 Aug 2008 to 18 May 2011)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
    • CF21 Investment Adviser (22 Jun 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2006 to 22 Jun 2007)

Recent activity

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

No changes recorded yet.