Stephen James Whiffin

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.

  • SJW Independent Financial Management Limited

    FRN 802267

    • 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)
    • [FCA CF] Client dealing (since 13 Jun 2020)
    • [FCA CF] Functions requiring qualifications (since 13 Jun 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)
    • CF11 Money Laundering Reporting (13 Jun 2018 to 8 Dec 2019)
    • CF1 Director (13 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (13 Jun 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Jun 2018 to 30 Sep 2018)
  • London Premier Wealth Management Limited (no longer approved here)

    FRN 768949

    • CF30 Customer (2 Nov 2017 to 20 Mar 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (26 Feb 2014 to 24 Oct 2017)
  • Fairstone Wealth Management Limited (no longer approved here)

    FRN 188596

    • CF30 Customer (1 Nov 2007 to 7 Mar 2014)
    • CF21 Investment Adviser (11 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 May 2005 to 11 May 2007)

Recent activity

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

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