Stephen Charles Evans Harries

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 15 May 2019)
    • CF30 Customer (since 15 May 2019)
  • Harries Financial Wealth Management Ltd

    FRN 837965

    • (1)Employed By (since 15 May 2019)
  • HHPG Limited (no longer approved here)

    FRN 191436

    • CF30 Customer (1 Nov 2007 to 28 Mar 2013)
    • CF10 Compliance Oversight (14 Feb 2007 to 11 Dec 2013)
    • Responsible for Insurance Mediation (14 Jan 2005 to 11 Dec 2013)
    • CF8 Apportionment and Oversight (10 Mar 2004 to 30 Apr 2007)
    • CF21 Investment Adviser (21 Nov 2002 to 31 Oct 2007)
    • CF1 Director (21 Nov 2002 to 11 Dec 2013)

Recent activity

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

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