Claire Elizabeth Stones

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Heritage Wealth Solutions Ltd (no longer approved here)

    FRN 678847

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Aug 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Aug 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Aug 2024)
    • SMF3 Executive Director (9 Dec 2019 to 28 Aug 2024)
    • CF11 Money Laundering Reporting (1 Sep 2015 to 8 Dec 2019)
    • CF1 Director (1 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2015 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 8 Jan 2015)
    • CF21 Investment Adviser (26 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 May 2004 to 26 May 2006)
  • BBT Group Ltd (no longer approved here)

    FRN 189722

    • Employed By (5 Jul 2006 to 8 Jan 2015)
  • Bebbington Brumby Financial Management Limited (no longer approved here)

    FRN 192564

    • Employed By (26 May 2006 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.