Stephen Kenneth Bain

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.

  • Gill Financial Services Limited

    FRN 523237

    • 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)
    • Responsible for Insurance Distribution (since 12 Oct 2021)
    • SMF3 Executive Director (since 12 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Oct 2021)
    • SMF16 Compliance Oversight (since 12 Oct 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Jun 2019 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 12 Jun 2019)
    • CF30 Customer (15 Sep 2010 to 6 Mar 2016)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 18 Jul 2009)
    • CF22 Investment Adviser (Trainee) (13 Jun 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.