Stephen David Thomas

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.

  • Mid & West IFA Limited

    FRN 610287

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 30 Nov 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Aug 2020)
    • [PRA CF] Key function holder (9 Dec 2019 to 30 Nov 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Nov 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 20 Aug 2020)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • Andrew Sayers Bell (no longer approved here)

    FRN 215592

    • (2)Employed By (19 Feb 2004 to 8 Dec 2019)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF21 Investment Adviser (1 Dec 2001 to 19 Feb 2002)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

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