Stephen Piacenti

Last updated
1 week ago
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Where they hold approval

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

  • HCR Independent Financial Advisers Limited

    FRN 216219

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jan 2026)
    • SMF16 Compliance Oversight (since 16 Jan 2026)
    • [FCA CF] Client dealing (since 1 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2024)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (17 Apr 2018 to 8 Dec 2019)
    • CF3 Chief Executive (17 Apr 2018 to 8 Dec 2019)
  • D G S Independent Financial Advisers Limited

    FRN 225814

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jan 2026)
    • SMF16 Compliance Oversight (since 16 Jan 2026)
    • [FCA CF] Client dealing (since 29 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (30 Sep 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Sep 2003 to 31 Mar 2009)
    • CF21 Investment Adviser (30 Sep 2003 to 31 Oct 2007)
    • CF3 Chief Executive (30 Sep 2003 to 8 Dec 2019)
  • DGS Independent Financial Advisers Ltd (no longer approved here)

    FRN 200277

    • Employed By (19 Aug 1999 to 30 Sep 2003)

Recent activity

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

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