Karen Stella Sheldon

Last updated
2 weeks ago
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Where they hold approval

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

  • Sheldon Flanders Financial Services Ltd

    FRN 566225

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • CF10 Compliance Oversight (5 Jul 2012 to 8 Dec 2019)
    • CF1 Director (5 Jul 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (5 Jul 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Jul 2012 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (9 May 2008 to 15 Nov 2010)
  • Personal Touch Financial Services East Midlands (no longer approved here)

    FRN 409354

    • (6)Employed By (9 May 2008 to 15 Nov 2010)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF24 Pension Transfer Specialist (30 Nov 2005 to 15 Dec 2006)
    • CF21 Investment Adviser (30 Nov 2005 to 15 Dec 2006)
  • Cooper Parry Wealth Limited (no longer approved here)

    FRN 197193

    • CF21 Investment Adviser (29 Aug 2002 to 27 Feb 2004)
  • BERKELEY, BURKE & COMPANY LIMITED (no longer approved here)

    FRN 115053

    • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)

Recent activity

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

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