Stephen Anthony Roberts

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • SMG F.S LIMITED

    FRN 118158

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 Mar 2017 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (13 Feb 2015 to 31 Jan 2017)
  • Warwick Road Financial Services Ltd (no longer approved here)

    FRN 656015

    • Employed By (29 Jan 2015 to 31 Jan 2017)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (29 Dec 2004 to 3 Feb 2007)
    • CF22 Investment Adviser (Trainee) (22 Dec 2003 to 29 Dec 2004)

Recent activity

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

No changes recorded yet.