Stephen Alan Umpelby

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.

  • MAKOR SECURITIES LONDON LTD

    FRN 625054

    • [FCA CF] Material risk taker (since 18 Dec 2025)
  • Sigma Broking Limited (no longer approved here)

    FRN 485362

    • SMF3 Executive Director (19 Apr 2024 to 7 May 2025)
    • [FCA CF] Material risk taker (19 Apr 2024 to 11 Jul 2025)
  • Schroders Greencoat LLP (no longer approved here)

    FRN 507962

    • [FCA CF] Significant management (3 Feb 2021 to 28 Feb 2022)
  • TRADITION LONDON CLEARING LIMITED (no longer approved here)

    FRN 190632

    • CF28 Systems and controls (26 May 2016 to 1 Feb 2019)
  • TFS VOLBROKER LIMITED (no longer approved here)

    FRN 206018

    • CF1 Director (17 Apr 2012 to 1 Feb 2019)
    • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
    • CF1 Director (24 Aug 2010 to 1 Feb 2019)
  • TRADITION FINANCIAL SERVICES LTD. (no longer approved here)

    FRN 147543

    • CF1 Director (24 Aug 2010 to 1 Feb 2019)
    • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
  • TFS Derivatives Limited (no longer approved here)

    FRN 197244

    • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
    • CF1 Director (24 Aug 2010 to 1 Feb 2019)

Recent activity

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

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