Stephen Clarke

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.

  • Clarke Financial Planning Ltd

    FRN 795641

    • 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)
    • SMF16 Compliance Oversight (since 31 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
    • CF1 Director (3 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Apr 2018 to 5 Jun 2019)
    • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Apr 2018 to 30 Sep 2018)
  • Clarke Financial Planning Ltd (no longer approved here)

    FRN 607005

    • Employed By (31 Mar 2018 to 31 Mar 2018)
  • Financial Foresight (NI) Limited (no longer approved here)

    FRN 434724

    • CF30 Customer (21 Jan 2013 to 31 Mar 2018)
  • Lodge Financial Advice Ltd (no longer approved here)

    FRN 229554

    • CF30 Customer (1 Nov 2007 to 3 Jun 2013)
    • Responsible for Insurance Mediation (14 Jan 2005 to 3 Jun 2013)
    • CF10 Compliance Oversight (12 Jan 2004 to 3 Jun 2013)
    • CF1 Director (12 Jan 2004 to 3 Jun 2013)
    • CF3 Chief Executive (12 Jan 2004 to 3 Jun 2013)
    • CF21 Investment Adviser (12 Jan 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (12 Jan 2004 to 31 Mar 2009)
  • The Clarke Partnership (NI) Ltd (no longer approved here)

    FRN 173353

    • Employed By (1 Oct 1998 to 30 Dec 2003)

Recent activity

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

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