Sarah Louise Stokes

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.

  • The Pensions Adviser Ltd

    FRN 725689

    • 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
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (3 May 2016 to 8 Dec 2019)
    • CF1 Director (3 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 May 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 May 2016 to 8 Dec 2019)
  • Pension Claim Consulting Ltd

    FRN 829766

    • SMF16 Compliance Oversight (since 17 Sep 2020)
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 17 Sep 2020)
  • HARVEST ASSOCIATES LIMITED (no longer approved here)

    FRN 629749

    • CF30 Customer (2 Jan 2015 to 11 Aug 2016)
  • Harvest Associates Ltd (no longer approved here)

    FRN 228757

    • (42)Employed By (12 Jul 2013 to 31 Dec 2014)

Recent activity

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

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