Harold Stephens Ltd

Date authorised
1 July 2013
Companies House
07610565
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Harold Stephens
    50 High Street
    Westbury-on-Trym
    Bristol
    Avon
    BS9 3DZ
    UNITED KINGDOM
    Phone
    +4401173636212
    Web
    https://www.haroldstephens.co.uk

  • Complaints Contact

    50 High Street
    Westbury-on-Trym
    Bristol
    Somerset
    BS9 3DZ
    UNITED KINGDOM
    Phone
    +4401173636212

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • James Kenward

    IRN JXK00080

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
  • Richard Peter Higgs

    IRN RPH01078

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 5 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 5 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (1 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
  • Victoria Vyce

    IRN VXV00091

    • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2025)

Recent activity

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

No changes recorded yet.