Stephen Michael Austin

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.

  • Plumtree Capital Limited

    FRN 532076

    • CF4 Partner (AR) (since 17 Apr 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (4 Jan 2011 to 8 Dec 2019)
    • CF1 Director (4 Jan 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Jan 2011 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2011 to 8 Dec 2019)
  • Plumtree Capital (US) LLP

    FRN 963542

    • (1)Employed By (since 17 Apr 2025)
  • Hybridan LLP (no longer approved here)

    FRN 464113

    • CF30 Customer (1 Nov 2007 to 2 Aug 2010)
    • CF10 Compliance Oversight (20 Apr 2007 to 2 Aug 2010)
    • CF4 Partner (20 Apr 2007 to 2 Aug 2010)
    • CF21 Investment Adviser (20 Apr 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (20 Apr 2007 to 2 Aug 2010)

Recent activity

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

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