Stephen Robert Hather

Last updated
6 days ago
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Where they hold approval

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

  • Hather Financial Services Limited

    FRN 924826

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 1 Oct 2020)
    • Responsibility for MCD Intermediation (since 1 Oct 2020)
    • Responsible for Insurance Distribution (since 1 Oct 2020)
    • SMF16 Compliance Oversight (since 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
    • SMF3 Executive Director (since 1 Oct 2020)
    • [FCA CF] Client dealing (since 1 Oct 2020)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Sep 2020)
    • CF1 Director (AR) (30 Jul 2014 to 30 Sep 2020)
    • CF30 Customer (10 Dec 2013 to 30 Sep 2020)
  • Hather Financial Services Ltd (no longer approved here)

    FRN 182496

    • Employed By (10 Dec 2013 to 30 Sep 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (7 Dec 2010 to 31 May 2012)
    • CF30 Customer (7 Dec 2010 to 31 May 2012)

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

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