Thomas James Roseman

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.

  • RiverPeak Wealth Limited

    FRN 632101

    • 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] Client dealing (since 4 Sep 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2025)
  • Mortgage Advice Bureau Limited (no longer approved here)

    FRN 455545

    • Appointed representative dealing with clients for which they require qualification (23 Dec 2022 to 5 May 2023)
  • Connells Limited (no longer approved here)

    FRN 302221

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Dec 2022)

Recent activity

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

No changes recorded yet.