William John Roberts

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Roberts & Co Financial Planning

    FRN 477177

    • (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (5)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (4)SMF27 Partner (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (2)Responsibility for MCD Intermediation (since 21 Mar 2016)
    • (7)CF4 Partner (6 Feb 2008 to 8 Dec 2019)
    • (2)Responsible for Insurance Mediation (6 Feb 2008 to 30 Sep 2018)
    • (3)CF30 Customer (6 Feb 2008 to 31 Dec 2013)
    • (4)CF11 Money Laundering Reporting (6 Feb 2008 to 31 Dec 2013)
    • (5)CF10 Compliance Oversight (6 Feb 2008 to 31 Dec 2013)
    • (6)CF8 Apportionment and Oversight (6 Feb 2008 to 31 Mar 2009)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (14 Mar 2006 to 31 Dec 2006)
    • CF22 Investment Adviser (Trainee) (15 Sep 2005 to 14 Mar 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (31 Jul 2002 to 27 May 2003)

Recent activity

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

  1. controlled function added: (7)CF4 Partner at Roberts & Co Financial Planning

  2. controlled function added: (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Roberts & Co Financial Planning

  3. controlled function added: (2)Responsibility for MCD Intermediation at Roberts & Co Financial Planning

  4. controlled function added: (3)Responsible for Insurance Distribution at Roberts & Co Financial Planning

  5. controlled function added: (4)SMF27 Partner at Roberts & Co Financial Planning

  6. controlled function added: (5)[FCA CF] Functions requiring qualifications at Roberts & Co Financial Planning