Stephen John Simon Warke

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 11 Mar 2025)
    • CF30 Customer (since 26 Feb 2025)
    • CF1 Director (AR) (since 26 Feb 2025)
  • PHW Wealth Partners Ltd

    FRN 1025222

    • (1)Employed By (since 26 Feb 2025)
  • J & E Davy (UK) Limited (no longer approved here)

    FRN 172140

    • [FCA CF] Material risk taker (22 Dec 2023 to 11 Apr 2024)
    • [FCA CF] Significant management (22 Dec 2023 to 11 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Jul 2024)
    • SMF3 Executive Director (9 Dec 2019 to 8 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Jul 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Apr 2020)
    • CF1 Director (13 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 13 Apr 2016)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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