Stephen Raymond Cartmell

Watch for changes

Where they hold approval

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

Beats Financial Planning Ltd (no longer approved here)
FRN 778519
- [FCA CF] Functions requiring qualifications (11 Sep 2020 to 22 Nov 2021)
2 Plan Wealth Management Limited (no longer approved here)
FRN 461598
- CF30 Customer (10 Jun 2011 to 27 Nov 2015)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 27 May 2011)
- CF22 Investment Adviser (Trainee) (7 Jun 2004 to 24 Nov 2005)
- CF21 Investment Adviser (1 Dec 2001 to 3 Feb 2003)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.