Gary James Stidolph

Last updated
3 weeks ago
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Where they hold approval

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

  • T.R.S. Independent Financial Advisers

    FRN 140448

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • CF1 Director (AR) (since 22 May 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 1 Nov 2007)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • Taurus Investor Services Ltd

    FRN 407847

    • (1)Employed By (since 22 May 2018)

Recent activity

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

  1. controlled function removed: Employed By at Taurus Investor Services Ltd

  2. controlled function added: (1)Employed By at Taurus Investor Services Ltd