Stephen Neale Walker

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.

  • Thompson Jenner Financial Services Limited

    FRN 210740

    • 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
    • Responsibility for MCD Intermediation (since 24 Apr 2024)
    • SMF16 Compliance Oversight (since 24 Apr 2024)
    • Responsible for Insurance Distribution (since 24 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Dec 2020)
    • CF30 Customer (13 Jan 2017 to 31 Dec 2020)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (639)Employed By (13 Jan 2017 to 31 Dec 2020)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (13 Jan 2014 to 27 Apr 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (23 Jul 2010 to 30 Jun 2012)

Recent activity

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

No changes recorded yet.