Paul Stocks

Last updated
1 week ago
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Where they hold approval

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

  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 802331

    • [FCA CF] Functions requiring qualifications (18 Sep 2020 to 7 Feb 2025)
    • [FCA CF] Client dealing (18 Sep 2020 to 7 Feb 2025)
  • DOBSON AND HODGE LIMITED (no longer approved here)

    FRN 141933

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Aug 2020)
    • SMF3 Executive Director (9 Dec 2019 to 24 Aug 2020)
    • CF11 Money Laundering Reporting (13 Sep 2010 to 8 Dec 2019)
    • CF30 Customer (1 Feb 2010 to 8 Dec 2019)
    • CF1 Director (1 Feb 2010 to 8 Dec 2019)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF21 Investment Adviser (6 Jun 2002 to 30 Jul 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 6 Jun 2002)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF21 Investment Adviser (6 Jun 2002 to 30 Jul 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 6 Jun 2002)

Recent activity

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

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