Robert William Stephenson

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.

  • Stephenson Johnson Financial Planning Limited

    FRN 419684

    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 25 Aug 2016)
    • CF10 Compliance Oversight (24 Feb 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (9 Jan 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (28 Apr 2005 to 31 Mar 2009)
    • CF21 Investment Adviser (28 Apr 2005 to 31 Oct 2007)
    • CF1 Director (28 Apr 2005 to 8 Dec 2019)

Recent activity

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

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