Stephen Richard Groves

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.

  • INTEGRAL FINANCIAL PLANNING LTD

    FRN 742957

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (16 Feb 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Feb 2017 to 8 Dec 2019)
    • CF30 Customer (16 Feb 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Feb 2017 to 30 Sep 2018)
  • AEON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 414369

    • CF30 Customer (23 Sep 2021 to 5 Apr 2023)
    • CF1 Director (AR) (23 Sep 2021 to 5 Apr 2023)
    • [FCA CF] Client dealing (1 Jul 2021 to 30 Apr 2023)
    • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 30 Apr 2023)
    • Appointed representative dealing with clients for which they require qualification (1 Jul 2021 to 30 Apr 2023)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF30 Customer (26 Jan 2015 to 14 Feb 2017)
    • CF1 Director (AR) (26 Jan 2015 to 14 Feb 2017)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (6 Jan 2012 to 8 Feb 2013)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (6 Jan 2012 to 8 Feb 2013)

Recent activity

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

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