Nigel Phillip Stones

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.

  • Stones Financial Limited

    FRN 224999

    • 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] Client dealing (since 6 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (22 Jul 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (22 Jul 2003 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (22 Jul 2003 to 31 Mar 2009)
  • Stones Young Mortgage Services Limited

    FRN 434418

    • 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 (12 Jul 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Feb 2012 to 30 Sep 2018)
    • CF1 Director (2 Aug 2005 to 8 Dec 2019)
  • EDEN INSURANCE SERVICES LIMITED (no longer approved here)

    FRN 308350

    • CF1 Director (14 Jan 2005 to 8 Jan 2008)
  • Stones & Co Financial Services (2919) (no longer approved here)

    FRN 190372

    • (1)Employed By (1 Dec 2001 to 10 Sep 2003)

Recent activity

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

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