Stephen James McGuinness

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Alternatives St James LLP

    FRN 430914

    • [FCA CF] Client dealing (since 19 Aug 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (7 Dec 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Dec 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (2 Mar 2006 to 8 Dec 2019)
    • CF4 Partner (9 Feb 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Feb 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (9 Feb 2006 to 31 Mar 2009)
  • Graham Capital LLP

    FRN 564058

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Aug 2016 to 8 Dec 2019)
    • CF4 Partner (21 Mar 2013 to 14 May 2019)
  • Cerno Capital Partners LLP (no longer approved here)

    FRN 465408

    • CF30 Customer (24 Jul 2009 to 31 Dec 2012)
    • CF4 Partner (23 Oct 2008 to 6 Dec 2019)

Recent activity

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

No changes recorded yet.