Stephen Noakes

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.

  • HARVEST ASSOCIATES LIMITED

    FRN 629749

    • 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 10 Feb 2021)
    • [FCA CF] Client dealing (since 10 Feb 2021)
    • CF30 Customer (2 Jan 2015 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (14 Apr 2022 to 10 Aug 2022)
    • [FCA CF] Client dealing (14 Apr 2022 to 10 Aug 2022)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 18 Feb 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (17 Feb 2009 to 16 Sep 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 16 Feb 2009)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (19 May 2003 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (31 Jan 2003 to 19 May 2003)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (25 Feb 2002 to 3 Jan 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 25 Feb 2002)

Recent activity

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

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