Stephen Ellis

Last updated
3 weeks ago
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Where they hold approval

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

  • FIL Investments International (no longer approved here)

    FRN 122170

    • SMF18 Other Overall Responsibility (16 Mar 2022 to 30 Jun 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Mar 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 16 Mar 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Mar 2022)
    • CF29 Significant management (19 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2012 to 8 Dec 2019)
  • FIL Investment Advisors (UK) Limited (no longer approved here)

    FRN 159360

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2025)
    • CF29 Significant management (19 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2012 to 8 Dec 2019)
  • FIL Investment Services (UK) Limited (no longer approved here)

    FRN 121939

    • CF30 Customer (3 Jun 2012 to 23 Oct 2017)
  • FIL Pensions Management (no longer approved here)

    FRN 144345

    • CF30 Customer (3 Jun 2012 to 15 Mar 2019)
  • Goldman Sachs Asset Management International (no longer approved here)

    FRN 147212

    • CF30 Customer (1 Nov 2007 to 3 Jun 2012)
    • CF27 Investment Management (2 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (16 Mar 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.