Stephen Conway

Watch for changes

Where they hold approval

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

ROCKWOOD FINANCIAL SOLUTIONS LIMITED (no longer approved here)
FRN 593766
- CF30 Customer (28 Oct 2014 to 4 Feb 2016)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (1 Nov 2007 to 30 Sep 2013)
- CF21 Investment Adviser (19 Jun 2003 to 31 Oct 2007)
Falcon Financial Advice Limited (no longer approved here)
FRN 401814
- (5)Employed By (29 Dec 2004 to 15 Aug 2011)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (30)Employed By (19 Jun 2003 to 30 Sep 2013)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF22 Investment Adviser (Trainee) (27 Dec 2002 to 3 Jan 2003)
Canada Life Limited (no longer approved here)
FRN 110394
- CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.