Stephen Mark Beverley

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.

  • Windmill Financial Services Ltd

    FRN 462530

    • 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
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 3 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Feb 2007 to 8 Dec 2019)
    • CF1 Director (22 Feb 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Feb 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (22 Feb 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (22 Feb 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (22 Feb 2007 to 30 Sep 2018)
  • Adcas Financial Management Ltd (no longer approved here)

    FRN 222123

    • CF21 Investment Adviser (29 Aug 2003 to 22 Feb 2007)

Recent activity

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

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