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Roger Sheppard

Roger has up to 22 years of Experience in Financial Services.

Permitted, Regulator Controlled Functions:
[FCA CF] Benchmark submission and administration
[FCA CF] Client dealing
[FCA CF] Functions requiring qualifications
[PRA CF] Key function holder
CPD12 - Personal recommendation/dealing in securities (not SHP/PPP/Broker funds)
CPD13 - Personal recommendation/dealing with derivatives
CPD14 - Managing investments
CPD17 - Administrative functions in relation to managing investments
CPD18 - Administrative life policies functions
CPD2 - Personal recommendation on Securities (not SHP/PPP/Broker funds)
CPD3 - Personal recommendation on derivatives
CPD4 - Personal recommendation on retail investments (not broker funds)
CPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway)
CPD9A - Advising on P2P agreements
SMF16 Compliance Oversight
Sole trader dealing with clients for which they require qualification

Previous Employment:
Independent Investor Services Limited19/05/2008 to 31/10/2009
St. Paul's Equities Limited31/08/2007 to 29/06/2009
Bridge Hall Stockbrokers Limited10/11/2006 to 30/08/2007
St .Paul's Equities Ltd10/11/2006 to 30/08/2007
Spirit Independent Financial Advisors Limited22/04/2003 to 04/10/2006
Reorganised Company Limited01/12/2001 to 30/11/2002
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