Stephen James Willis

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Kennett Insurance Brokers Limited

    FRN 148534

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (13 Nov 2017 to 8 Dec 2019)
  • Willis & Company (Insurance Brokers) Limited

    FRN 309124

    • 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)
    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Nov 2019)
    • CF10 Compliance Oversight (8 Jun 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Jun 2016 to 30 Sep 2018)
    • CF1 Director (AR) (16 Mar 2016 to 25 Jun 2019)
    • CF1 Director (30 Dec 2013 to 8 Dec 2019)
    • CF30 Customer (27 Jan 2010 to 8 Dec 2019)
  • Willis & Company (Insurance Brokers) Reading Ltd (no longer approved here)

    FRN 738414

    • Employed By (16 Mar 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.