Stephen Ellis

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.

  • Stephen Ellis

    FRN 452196

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Jun 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)
  • Breed Elliott& Co (1154) (no longer approved here)

    FRN 159343

    • Employed By (1 Dec 2001 to 30 Apr 2003)

Recent activity

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

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