stephen goldman

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.

  • AM&A INVESTMENT & PENSION PLANNING LIMITED

    FRN 445480

    • 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
    • Responsible for Insurance Distribution (since 12 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2017 to 8 Dec 2019)
    • CF1 Director (1 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (21 Jan 2014 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (14 Oct 2008 to 15 Jan 2014)
  • Re-Financial Planning Ltd (no longer approved here)

    FRN 191310

    • (7)Employed By (16 Oct 2002 to 29 Jun 2004)

Recent activity

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

No changes recorded yet.