Stephen Lee Gicquel

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.

  • SLG Financial Solutions Limited

    FRN 563973

    • 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
    • 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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Algorithmic trading (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2019)
    • [PRA CF] Managing a material risk taker (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (6 Feb 2012 to 30 Sep 2018)
    • CF30 Customer (6 Feb 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Feb 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Feb 2012 to 8 Dec 2019)
    • CF1 Director (6 Feb 2012 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (1 Feb 2011 to 23 May 2011)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF1 Director (AR) (1 Jun 2009 to 31 Oct 2010)
    • CF30 Customer (1 Jun 2009 to 31 Oct 2010)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
    • CF21 Investment Adviser (2 Oct 2007 to 31 Oct 2007)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (73)Employed By (2 Oct 2007 to 2 Nov 2007)
  • Eclipse Mortgage & Insurance Services Ltd (no longer approved here)

    FRN 229913

    • (2)Employed By (6 Jan 2006 to 7 Dec 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (7 Jul 2005 to 30 Dec 2005)
    • CF22 Investment Adviser (Trainee) (25 Jun 2004 to 7 Jul 2005)

Recent activity

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