William Rogers

Watch for changes

Where they hold approval

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

RBC Europe Limited
FRN 124543
- [FCA CF] Client dealing (since 10 Jan 2019)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF30 Customer (12 Mar 2013 to 20 Nov 2018)
Raymond James Financial International Limited (no longer approved here)
FRN 188244
- CF30 Customer (10 Nov 2009 to 25 Jan 2013)
Northland Capital Partners Limited (no longer approved here)
FRN 155200
- CF30 Customer (1 Nov 2007 to 30 Oct 2009)
- CF26 Customer Trading (19 Aug 2005 to 31 Oct 2007)
- CF21 Investment Adviser (19 Aug 2005 to 31 Oct 2007)
ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 155241
- CF30 Customer (1 Nov 2007 to 30 Oct 2009)
- CF26 Customer Trading (24 Oct 2006 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.