Stephen Paul Coleman

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.

  • Herts Financial Services Limited (no longer approved here)

    FRN 595005

    • SMF3 Executive Director (9 Dec 2019 to 19 Feb 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Feb 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Feb 2021)
    • Responsibility for MCD Intermediation (9 Oct 2019 to 19 Feb 2021)
    • CF10 Compliance Oversight (9 Oct 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (9 Oct 2019 to 19 Feb 2021)
    • CF11 Money Laundering Reporting (9 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2013 to 8 Dec 2019)
    • CF1 Director (3 Jun 2013 to 8 Dec 2019)
  • Scott and Casey Financial Management Limited (no longer approved here)

    FRN 213848

    • CF30 Customer (1 Nov 2007 to 20 Dec 2008)
    • CF21 Investment Adviser (12 Nov 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.