Sidney Stone Roberts

Last updated
2 days ago
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Where they hold approval

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

  • Investment & Retirement Solutions Ltd (no longer approved here)

    FRN 504345

    • SMF3 Executive Director (9 Dec 2019 to 27 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Nov 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Nov 2020)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 27 Nov 2020)
    • Responsible for Insurance Mediation (31 Aug 2011 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (25 Aug 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Aug 2011 to 8 Dec 2019)
    • CF28 Systems and controls (25 Aug 2011 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2009 to 8 Dec 2019)
    • CF1 Director (1 Oct 2009 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
    • CF1 Director (AR) (31 Oct 2004 to 9 Oct 2009)
    • CF22 Investment Adviser (Trainee) (18 Feb 2004 to 31 Oct 2007)
  • Commercial Direct UK Ltd (no longer approved here)

    FRN 410520

    • Employed By (31 Oct 2004 to 9 Oct 2009)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Dec 2001 to 16 Aug 2004)
  • Commercial Direct (no longer approved here)

    FRN 206206

    • Employed By (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

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