Stephen Hartley

Last updated
6 days ago
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Where they hold approval

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

  • Velarium Wealth Ltd

    FRN 953492

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 1 Jan 2025)
    • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2025)
    • CF30 Customer (since 5 Dec 2024)
    • CF1 Director (AR) (since 5 Dec 2024)
  • Redwood Independent Financial Advisers Limited

    FRN 1021914

    • (1)Employed By (since 5 Dec 2024)
  • Redwood Insurance Brokers Limited

    FRN 306450

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Jun 2020)
    • CF11 Money Laundering Reporting (1 Feb 2009 to 8 Dec 2019)
    • CF30 Customer (28 Mar 2008 to 8 Dec 2019)
    • CF21 Investment Adviser (22 Dec 2005 to 19 Dec 2006)
    • CF10 Compliance Oversight (15 Dec 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 1 Nov 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF3 Chief Executive (14 Jan 2005 to 1 Oct 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • A & J WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 428590

    • SMF16 Compliance Oversight (9 Dec 2019 to 24 Sep 2021)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Sep 2021)
    • CF11 Money Laundering Reporting (27 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Nov 2019 to 8 Dec 2019)
    • CF1 Director (25 Sep 2018 to 8 Dec 2019)
    • CF30 Customer (22 Aug 2016 to 8 Dec 2019)

Recent activity

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

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