Stephen John Mcvey

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Hambrook Financial Planning Limited

    FRN 786139

    • 11. Pension transfer specialist
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (1 Dec 2017 to 8 Dec 2019)
    • CF1 Director (1 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2017 to 30 Sep 2018)
  • Headley Financial Services Limited (no longer approved here)

    FRN 527443

    • CF30 Customer (4 Jan 2011 to 1 Jun 2018)
  • Wise Financial Services Ltd (no longer approved here)

    FRN 403632

    • Employed By (23 Jun 2010 to 27 Dec 2010)
  • Headley Financial Services Limited (no longer approved here)

    FRN 125159

    • (7)Employed By (30 Jan 2009 to 27 Dec 2010)

Recent activity

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

No changes recorded yet.