Marc Lee Stemmer

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • HAMPSTEAD WEALTH MANAGEMENT LIMITED

    FRN 597277

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (22 Jul 2013 to 8 Dec 2019)
    • CF1 Director (22 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (22 Jul 2013 to 30 Sep 2018)
  • M & N INSURANCE SERVICE LIMITED (no longer approved here)

    FRN 305837

    • CF30 Customer (20 Aug 2009 to 31 May 2010)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 9 Apr 2003)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 9 Apr 2003)

Recent activity

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

No changes recorded yet.