Stephen Glen Holman

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.

  • R & H Partnership

    FRN 608143

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 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
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (28 Jan 2014 to 8 Dec 2019)
    • CF4 Partner (28 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Jan 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (28 Jan 2014 to 8 Dec 2019)
  • BPR Financial Services (no longer approved here)

    FRN 184291

    • Employed By (21 Jan 2009 to 14 Apr 2014)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 14 Apr 2014)
    • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
  • Jigsaw Financial Management Ltd (no longer approved here)

    FRN 231801

    • (31)Employed By (1 Mar 2007 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (20 Sep 2006 to 12 Jan 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2005 to 20 Sep 2006)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (20 Sep 2006 to 12 Jan 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2005 to 20 Sep 2006)
  • Wealthspend Limited (no longer approved here)

    FRN 160735

    • (10)Employed By (11 Jul 2005 to 12 Jan 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (10 Aug 2004 to 30 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 25 Mar 2004)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (10 Aug 2004 to 30 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 25 Mar 2004)

Recent activity

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

  1. controlled function added: (10)Employed By at Wealthspend Limited