Stephen Mark Petrie

Last updated
1 week ago
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Where they hold approval

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

  • Argentous Private Clients Limited

    FRN 705578

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (9 Sep 2015 to 8 Dec 2019)
    • CF1 Director (9 Sep 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (9 Sep 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Sep 2015 to 30 Sep 2018)
  • Argentous Private Clients Ltd (no longer approved here)

    FRN 646683

    • Employed By (3 Aug 2015 to 1 Sep 2015)
  • WREN STERLING FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 665653

    • CF30 Customer (16 Mar 2015 to 9 Jun 2015)
  • Chamberlain De Broe Limited (no longer approved here)

    FRN 147107

    • CF30 Customer (28 Jul 2009 to 11 Sep 2009)
  • John Joseph Financial Services Limited (no longer approved here)

    FRN 116018

    • CF1 Director (7 Feb 2005 to 27 Oct 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2006)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Jul 2006)

Recent activity

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

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