Stephen Holt

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.

  • Quays Wealth Services Limited

    FRN 629971

    • 11. Pension transfer specialist
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 3 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jul 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jul 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Jul 2023)
    • Responsibility for MCD Intermediation (29 Apr 2016 to 3 Jul 2023)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2014 to 30 Sep 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (10 Mar 2010 to 22 Feb 2012)

Recent activity

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

No changes recorded yet.