Mark David Briggs

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.

  • Stepping Stones Financial Solutions Limited

    FRN 919575

    • 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
    • SMF3 Executive Director (since 3 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Sep 2020)
    • SMF16 Compliance Oversight (since 3 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (1 Aug 2013 to 19 Feb 2014)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (29 Feb 2008 to 29 Oct 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 13 Oct 2006)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF22 Investment Adviser (Trainee) (7 Aug 2007 to 29 Oct 2007)

Recent activity

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

No changes recorded yet.