Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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J. STERN & CO LLP
FRN 588344
- 14. Managing investments
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 3. Giving personal recommendations on derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 17. Administrative functions in relation to managing investments
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Functions requiring qualifications (since 17 Jul 2023)
- [FCA CF] Client dealing (since 17 Jul 2023)
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- CF30 Customer (27 Nov 2015 to 11 Feb 2016)
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- CF30 Customer (30 Apr 2014 to 14 Aug 2015)
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- CF30 Customer (6 Apr 2009 to 21 Dec 2009)
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- CF21 Investment Adviser (13 Jul 2006 to 22 Aug 2006)
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- CF21 Investment Adviser (13 Jul 2006 to 22 Aug 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.