Stephen Holmes

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.

  • Stephen Holmes

    FRN 504022

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2009 to 8 Dec 2019)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (27 May 2008 to 7 Dec 2009)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 18 Aug 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • All Finanz Co Ltd (no longer approved here)

    FRN 192364

    • Employed By (1 Dec 2001 to 28 Feb 2002)

Recent activity

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

No changes recorded yet.