Thomas Joseph Roche

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.

  • Intelligence Wealth Management Ltd

    FRN 677967

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (2 Nov 2015 to 8 Dec 2019)
    • CF1 Director (2 Nov 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Nov 2015 to 8 Dec 2019)
    • CF30 Customer (2 Nov 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Nov 2015 to 30 Sep 2018)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (25 Mar 2013 to 3 Oct 2013)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (10 Aug 2011 to 3 Oct 2013)
  • Merchant House Financial Services Ltd (no longer approved here)

    FRN 538416

    • Employed By (10 Aug 2011 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 14 Mar 2008)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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