Stephen Robert Dean

Last updated
3 weeks ago
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Where they hold approval

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

  • MKS FINANCIAL PLANNING LIMITED

    FRN 118061

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 1 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2025)
  • CMIS Independent Financial Advisors Limited

    FRN 826849

    • (10)21. Advising or arranging (bringing about) equity release transactions
    • (11)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (12)9A. Advising on P2P agreements
    • (13)7. Giving personal recommendations on long-term care insurance contracts
    • (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (15)4. Giving personal recommendations on retail investment products which are not broker funds
    • (18)[FCA CF] Client dealing (since 8 Dec 2020)
    • (19)[FCA CF] Functions requiring qualifications (since 8 Dec 2020)
    • (16)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (17)SMF3 Executive Director (since 9 Dec 2019)
    • (2)CF30 Customer (3 Jun 2019 to 8 Dec 2019)
    • (4)CF1 Director (3 Jun 2019 to 8 Dec 2019)
    • (3)CF11 Money Laundering Reporting (3 Jun 2019 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (2)CF30 Customer at CMIS Independent Financial Advisors Limited

  2. controlled function added: (3)CF11 Money Laundering Reporting at CMIS Independent Financial Advisors Limited

  3. controlled function added: (4)CF1 Director at CMIS Independent Financial Advisors Limited

  4. controlled function added: (10)21. Advising or arranging (bringing about) equity release transactions at CMIS Independent Financial Advisors Limited

  5. controlled function added: (11)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at CMIS Independent Financial Advisors Limited

  6. controlled function added: (12)9A. Advising on P2P agreements at CMIS Independent Financial Advisors Limited

  7. controlled function added: (13)7. Giving personal recommendations on long-term care insurance contracts at CMIS Independent Financial Advisors Limited

  8. controlled function added: (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at CMIS Independent Financial Advisors Limited

  9. controlled function added: (15)4. Giving personal recommendations on retail investment products which are not broker funds at CMIS Independent Financial Advisors Limited

  10. controlled function added: (16)SMF17 Money Laundering Reporting Officer (MLRO) at CMIS Independent Financial Advisors Limited

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