Stephen Paul Dockerty

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.

  • Aegis Financial Planning Limited

    FRN 624298

    • 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] Functions requiring qualifications (since 1 Mar 2024)
    • [FCA CF] Client dealing (since 1 Mar 2024)
  • Insight Financial Associates Limited (no longer approved here)

    FRN 458421

    • [FCA CF] Functions requiring qualifications (31 Jan 2023 to 1 Feb 2023)
    • [FCA CF] Client dealing (31 Jan 2023 to 1 Feb 2023)
  • Sterling & Law Limited (no longer approved here)

    FRN 184040

    • (7)Employed By (20 Nov 2000 to 27 Sep 2002)

Recent activity

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

No changes recorded yet.