Stephen Neil John

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • CLARK & JOHN FINANCIAL SERVICES LIMITED

    FRN 476104

    • 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 25 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2021)
    • CF30 Customer (7 Feb 2017 to 8 Dec 2019)
  • O'Connor and Co (Financial Services) Limited (no longer approved here)

    FRN 542264

    • (3)CF1 Director (10 Oct 2011 to 11 Apr 2017)
    • (2)CF30 Customer (19 Aug 2011 to 11 Apr 2017)

Recent activity

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

  1. controlled function added: (2)CF30 Customer at O'Connor and Co (Financial Services) Limited

  2. controlled function added: (3)CF1 Director at O'Connor and Co (Financial Services) Limited