Stephen Robert Dicker

Last updated
2 weeks ago
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Where they hold approval

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

  • Grovelands Financial Planning Ltd

    FRN 486256

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Apr 2016)
    • CF8 Apportionment and Oversight (11 Aug 2008 to 31 Mar 2009)
    • CF1 Director (11 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2008 to 8 Dec 2019)
    • CF30 Customer (11 Aug 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Aug 2008 to 30 Sep 2018)
  • Alan McKelvey (no longer approved here)

    FRN 572917

    • CF30 Customer (4 Jan 2013 to 1 Apr 2013)
  • MWA FINANCIAL ADVICE LTD (no longer approved here)

    FRN 460399

    • CF30 Customer (1 Nov 2007 to 8 Aug 2008)
    • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.