Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Stonehouse Financial Services Ltd
FRN 454859
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Sep 2025)
- SMF3 Executive Director (since 4 Sep 2025)
- SMF16 Compliance Oversight (since 4 Sep 2025)
-
Waterbridge Financial Planning Limited
FRN 734536
- 4. Giving personal recommendations on retail investment products which are not 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)
- SMF16 Compliance Oversight (since 30 Jan 2023)
- SMF3 Executive Director (since 30 Jan 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2023)
- [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
- [FCA CF] Client dealing (since 23 Oct 2020)
-
- CF30 Customer (1 Aug 2014 to 8 Dec 2019)
-
- CF30 Customer (4 Sep 2008 to 4 Jul 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.