Stephen James Tripp

Last updated
1 week ago
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Where they hold approval

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

  • Michael James

    FRN 713035

    • 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 19 Dec 2019)
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • CF30 Customer (18 Dec 2015 to 8 Dec 2019)
  • Michael James (no longer approved here)

    FRN 200072

    • (19)Employed By (11 Sep 2012 to 17 Dec 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Jul 2012)
    • CF21 Investment Adviser (19 Nov 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Nov 2002)

Recent activity

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

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