Stephen Mark Francis

Last updated
6 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • MPFS Wealth Management Limited

    FRN 941765

    • 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)
    • [FCA CF] Client dealing (since 17 May 2021)
    • SMF3 Executive Director (since 17 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 May 2021)
    • SMF16 Compliance Oversight (since 17 May 2021)
    • Responsible for Insurance Distribution (since 17 May 2021)
    • [FCA CF] Functions requiring qualifications (since 17 May 2021)
  • Thomas, Carroll Independent Financial Advisers Limited (no longer approved here)

    FRN 450497

    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Apr 2021 to 9 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 9 Apr 2021)
    • CF1 Director (29 Feb 2016 to 8 Dec 2019)
    • CF30 Customer (28 Jun 2010 to 8 Dec 2019)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
    • CF21 Investment Adviser (9 Jun 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Dec 2003 to 9 Jun 2004)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (9 Jun 2004 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (12 Dec 2003 to 9 Jun 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (29 Aug 2002 to 20 Dec 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Aug 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (29 Aug 2002 to 1 Oct 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Aug 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF21 Investment Adviser (29 Aug 2002 to 29 Aug 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Aug 2002)

Recent activity

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

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