Stephen Anthony Keating

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.

  • Scottish Widows Schroder Personal Wealth Limited

    FRN 830170

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 7 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 7 Apr 2020)
    • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (27 Aug 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 May 2003 to 27 Aug 2004)

Recent activity

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

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