Stephen McDine

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.

  • Stephen McDine Limited

    FRN 550716

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Apr 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Apr 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Jan 2024)
    • SMF3 Executive Director (9 Dec 2019 to 8 Apr 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 2 Jan 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 8 Apr 2024)
    • CF10 Compliance Oversight (5 Jul 2011 to 8 Dec 2019)
    • CF1 Director (5 Jul 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Jul 2011 to 8 Dec 2019)
    • CF30 Customer (5 Jul 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Jul 2011 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (9 Dec 2019 to 14 Jul 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jul 2020)
    • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 7 Jul 2011)
    • CF21 Investment Adviser (13 Dec 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 Jun 2003 to 13 Dec 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 19 Apr 2003)

Recent activity

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

No changes recorded yet.