Stephen Lawrence Cainer

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.

  • Wealthcare Limited

    FRN 207647

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (since 13 Jan 2017)
    • Responsibility for MCD Intermediation (since 27 Sep 2016)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (26 Jul 2005 to 19 Dec 2006)
    • CF21 Investment Adviser (31 Mar 2004 to 31 Oct 2007)
    • CF1 Director (31 Mar 2004 to 8 Dec 2019)
  • Wealthguard Ltd (no longer approved here)

    FRN 448754

    • Employed By (1 Mar 2006 to 30 Jun 2010)
  • Contego Ltd (no longer approved here)

    FRN 435972

    • Employed By (26 Jul 2005 to 19 Dec 2006)
  • Schofields Limited (no longer approved here)

    FRN 118669

    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)

Recent activity

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

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