Stephen Edward Fox

Last updated
5 days ago
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Where they hold approval

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

  • Fox Lifestyle Financial Planning Limited

    FRN 1007170

    • 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] Functions requiring qualifications (since 1 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2024)
    • SMF3 Executive Director (since 1 Nov 2024)
    • [FCA CF] CASS oversight function (since 1 Nov 2024)
    • [FCA CF] Client dealing (since 1 Nov 2024)
    • Responsible for Insurance Distribution (since 1 Nov 2024)
    • SMF16 Compliance Oversight (since 1 Nov 2024)
  • Flying Colours Advice Limited (no longer approved here)

    FRN 672022

    • CF30 Customer (8 Dec 2017 to 1 Nov 2024)
    • CF1 Director (AR) (8 Dec 2017 to 1 Nov 2024)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (31 May 2011 to 10 Mar 2016)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • CF30 Customer (15 Feb 2010 to 5 May 2011)

Recent activity

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

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