Stephen Charles Bloomfield

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.

  • XL Independent Financial Advisers Ltd

    FRN 415232

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • Responsibility for MCD Intermediation (since 28 May 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (10 Aug 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Aug 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Aug 2011 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Jan 2005 to 31 Oct 2007)
    • CF1 Director (17 Jan 2005 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (4 Jan 2005 to 23 Dec 2009)
  • XL2 Ltd (no longer approved here)

    FRN 224373

    • Employed By (28 Apr 2003 to 19 Oct 2004)
  • Exel Independent Financial Advisers (no longer approved here)

    FRN 194650

    • (3)Employed By (29 Aug 2001 to 28 Aug 2003)

Recent activity

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

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