Stephen Colin Francis

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (1 Nov 2007 to 28 Jun 2016)
    • CF24 Pension Transfer Specialist (29 Dec 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (29 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Nov 2004 to 29 Dec 2005)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (7 Jan 2004 to 22 Nov 2004)
    • CF22 Investment Adviser (Trainee) (31 Jul 2003 to 7 Jan 2004)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (16 Dec 2002 to 3 Mar 2003)
    • CF22 Investment Adviser (Trainee) (19 Feb 2002 to 16 Dec 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (16 Dec 2002 to 3 Mar 2003)
    • CF22 Investment Adviser (Trainee) (19 Feb 2002 to 16 Dec 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (16 Dec 2002 to 3 Mar 2003)
    • CF22 Investment Adviser (Trainee) (19 Feb 2002 to 16 Dec 2002)

Recent activity

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

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