Lisa Frances Shepherd

Last updated
6 days ago
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Where they hold approval

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

  • SGM Financial Management Ltd

    FRN 948167

    • 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)
    • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
    • Responsible for Insurance Distribution (since 12 Jul 2021)
    • SMF3 Executive Director (since 12 Jul 2021)
    • [FCA CF] Client dealing (since 12 Jul 2021)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • [FCA CF] Functions requiring qualifications (2 Nov 2020 to 26 Feb 2021)
    • [FCA CF] Client dealing (2 Nov 2020 to 26 Feb 2021)
  • Castlegate Financial Management Limited (no longer approved here)

    FRN 169777

    • CF30 Customer (20 Oct 2016 to 8 Dec 2019)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • CF30 Customer (1 Aug 2016 to 10 Oct 2016)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (24 Mar 2014 to 31 Jul 2016)

Recent activity

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

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