Stephen Richard Grimes

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.

  • Bonum Wealth Ltd

    FRN 774566

    • 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 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Mar 2020)
    • CF11 Money Laundering Reporting (7 Jun 2017 to 8 Dec 2019)
    • CF1 Director (7 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (7 Jun 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Jun 2017 to 30 Sep 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Mar 2010 to 5 Aug 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 3 Mar 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Jan 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.