Stephen James Giddings

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.

  • James Gregory Financial Limited

    FRN 610629

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (2 Jun 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jun 2014 to 8 Dec 2019)
    • CF30 Customer (2 Jun 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jun 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Jun 2014 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (19 Jan 2010 to 12 Sep 2014)
    • CF30 Customer (19 Jan 2010 to 30 May 2014)
  • HCL BANK HOUSE FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 400529

    • CF1 Director (AR) (30 Apr 2009 to 30 Dec 2009)
    • CF30 Customer (1 Nov 2007 to 6 Apr 2009)
    • CF22 Investment Adviser (Trainee) (13 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (3 Sep 2003 to 24 Aug 2007)
    • CF22 Investment Adviser (Trainee) (31 Jan 2003 to 3 Sep 2003)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 12 Aug 2002)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 12 Aug 2002)

Recent activity

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

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