Stephen Farnfield

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Rosemount Financial Solutions (IFA) Limited

    FRN 535515

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 28 Nov 2023)
    • Appointed representative dealing with clients for which they require qualification (since 17 Apr 2023)
    • CF30 Customer (since 13 Mar 2023)
    • [FCA CF] Client dealing (since 10 Mar 2023)
  • Paladin Financial Consultancy Ltd

    FRN 1005952

    • (5)Employed By (since 28 Nov 2023)
  • Farnfield Financial Ltd (no longer approved here)

    FRN 1030254

    • (1)Employed By (31 Mar 2025 to 23 May 2025)
  • Marble Financial Planning Ltd (no longer approved here)

    FRN 938798

    • (1)Employed By (13 Mar 2023 to 1 Feb 2024)
  • Serious Law Investments Limited (no longer approved here)

    FRN 990595

    • Employed By (25 Jan 2023 to 11 May 2023)
  • CFG Financial Services Limited (no longer approved here)

    FRN 979511

    • Employed By (22 Jul 2022 to 11 May 2023)
  • Frenkel Topping Limited (no longer approved here)

    FRN 145186

    • Appointed representative dealing with clients for which they require qualification (17 Feb 2022 to 14 Apr 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2023)
    • CF30 Customer (6 Nov 2014 to 14 Apr 2023)
  • Ralli Financial Services Limited (no longer approved here)

    FRN 967224

    • (11)Employed By (20 Jan 2022 to 11 May 2023)
  • Pattinson and Brewer Financial Services Limited (no longer approved here)

    FRN 961027

    • Employed By (22 Oct 2021 to 11 May 2023)
  • Frenkel Topping Associates Limited (no longer approved here)

    FRN 759456

    • (8)Employed By (6 Sep 2021 to 11 May 2023)
Show more

Recent activity

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

  1. controlled function removed: Employed By at Ralli Financial Services Limited

  2. controlled function added: (11)Employed By at Ralli Financial Services Limited

  3. controlled function removed: Employed By at Frenkel Topping Associates Limited

  4. controlled function added: (8)Employed By at Frenkel Topping Associates Limited

  5. controlled function removed: Employed By at Aspire + Wealth Management Limited

  6. controlled function added: (6)Employed By at Aspire + Wealth Management Limited