Stephen James Buckle

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.

  • ASHWORTH FINANCIAL PLANNING LIMITED

    FRN 606805

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 6 Feb 2014)
    • CF10 Compliance Oversight (6 Feb 2014 to 8 Dec 2019)
    • CF1 Director (6 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Feb 2014 to 30 Sep 2018)
  • Mike Charles Watson

    FRN 624288

    • (1)Employed By (since 29 May 2014)
  • Kingsfleet Wealth Limited (no longer approved here)

    FRN 514731

    • CF30 Customer (18 Jan 2013 to 27 Feb 2013)
    • CF10 Compliance Oversight (17 Jul 2012 to 27 Feb 2013)
  • WOODWARD MARKWELL FINANCIAL ADVISERS LTD (no longer approved here)

    FRN 146449

    • CF30 Customer (21 May 2010 to 6 Aug 2010)
  • Citrus Wealth Management Limited (no longer approved here)

    FRN 429045

    • CF30 Customer (15 Feb 2008 to 18 Feb 2009)

Recent activity

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

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