Stephen James Ord

Last updated
3 weeks ago
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Where they hold approval

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

  • Hodgson Barrow (Financial Services) Limited (no longer approved here)

    FRN 198059

    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Jun 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Sep 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Sep 2024)
    • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Jun 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2021)
    • CF11 Money Laundering Reporting (18 Sep 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jan 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jan 2011 to 30 Sep 2018)
    • CF1 Director (12 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (24 Aug 2010 to 8 Dec 2019)
  • Verso Wealth Management Limited (no longer approved here)

    FRN 153871

    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 May 2002)

Recent activity

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

No changes recorded yet.