Stephen Geoffrey Mallard

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.

  • Fairstone Wealth Management Limited

    FRN 188596

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 21. Advising or arranging (bringing about) equity release transactions
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 16 Apr 2021)
    • [FCA CF] Client dealing (since 16 Apr 2021)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2021)
    • CF30 Customer (26 Jun 2014 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (2 Feb 2011 to 18 Jul 2012)
  • Minton Financial Services Ltd (no longer approved here)

    FRN 536299

    • Employed By (2 Feb 2011 to 18 Jul 2012)
  • Richard Bamber & Company Limited (no longer approved here)

    FRN 222626

    • CF21 Investment Adviser (7 Apr 2003 to 10 Jun 2005)

Recent activity

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

No changes recorded yet.