Stephen Andrew Mallett

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.

  • FS WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 727510

    • CF11 Money Laundering Reporting (15 Sep 2016 to 31 Aug 2017)
    • CF1 Director (15 Sep 2016 to 1 Oct 2017)
    • CF10 Compliance Oversight (15 Sep 2016 to 31 Aug 2017)
  • FINANCE SHOP LIMITED (no longer approved here)

    FRN 551177

    • CF30 Customer (3 Oct 2011 to 1 Oct 2017)
    • CF1 Director (3 Oct 2011 to 1 Oct 2017)
  • The Finance Shop (1750) (no longer approved here)

    FRN 191988

    • Employed By (25 Apr 2002 to 28 Feb 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 10 Apr 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 10 Apr 2002)

Recent activity

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

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