Stephen Ronald Whiteway

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.

  • The Independent Asset Management Company

    FRN 209525

    • 11. Pension transfer specialist
    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (28 Apr 2015 to 27 Sep 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (10 Jun 2002 to 31 Mar 2009)
    • CF4 Partner (10 Jun 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Jun 2002 to 31 Oct 2007)
    • CF10 Compliance Oversight (10 Jun 2002 to 8 Dec 2019)
  • JWK Wealth Management Limited (no longer approved here)

    FRN 401670

    • (8)Employed By (21 Apr 2015 to 27 Sep 2024)

Recent activity

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