Stephen John Shaw

Last updated
2 weeks ago
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Where they hold approval

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

  • MOLYNEUX ASSOCIATES LIMITED

    FRN 624563

    • 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] Client dealing (since 13 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 13 Jun 2024)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (10 Apr 2024 to 20 Jun 2024)
  • Tenet Financial Services Limited (no longer approved here)

    FRN 172174

    • Employed By (28 Sep 2020 to 20 Jun 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Jun 2024)
    • CF30 Customer (3 Mar 2011 to 5 Jun 2024)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (22 Mar 2013 to 20 Jun 2024)
  • Merchant House Financial Services Ltd (no longer approved here)

    FRN 538416

    • Employed By (3 Mar 2011 to 20 Jun 2024)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (5 Jul 2006 to 4 Aug 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 24 Feb 2006)

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

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