Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Stepping Stones Financial Services Limited
FRN 451050
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (7 Apr 2017 to 8 Dec 2019)
- CF8 Apportionment and Oversight (4 Jul 2006 to 31 Mar 2009)
- Responsible for Insurance Mediation (4 Jul 2006 to 30 Sep 2018)
- CF1 Director (4 Jul 2006 to 8 Dec 2019)
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- CF21 Investment Adviser (17 Mar 2004 to 24 Sep 2004)
- CF22 Investment Adviser (Trainee) (12 Mar 2003 to 17 Mar 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.