Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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NEXT STEP ADVICE LIMITED
FRN 917494
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- SMF16 Compliance Oversight (since 3 Aug 2020)
- [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
- SMF3 Executive Director (since 3 Aug 2020)
- Responsibility for MCD Intermediation (since 3 Aug 2020)
- Responsible for Insurance Distribution (since 3 Aug 2020)
- [PRA CF] Key function holder (3 Aug 2020 to 13 Dec 2023)
- [FCA CF] Client dealing (3 Aug 2020 to 13 Dec 2023)
- [FCA CF] Significant management (3 Aug 2020 to 13 Dec 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (29 Jun 2020 to 5 Aug 2020)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Aug 2020)
- CF1 Director (AR) (11 Jul 2016 to 30 Jul 2020)
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- CF22 Investment Adviser (Trainee) (20 Nov 2003 to 3 Dec 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.