Stephen Thomas

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.

  • KPW Investments LLP

    FRN 609061

    • 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
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2025)
    • [FCA CF] Client dealing (since 31 Oct 2024)
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2024)
    • CF30 Customer (since 7 Feb 2024)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 2 Apr 2024)
    • CF1 Director (AR) (25 Mar 2019 to 2 Apr 2024)
    • CF30 Customer (25 Mar 2019 to 2 Apr 2024)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (25 Mar 2019 to 2 Apr 2024)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (25 Jan 2012 to 1 Apr 2019)
    • CF2 Non Executive Director (AR) (1 Jun 2009 to 13 Jan 2012)
    • CF30 Customer (1 Nov 2007 to 31 Oct 2012)
    • CF22 Investment Adviser (Trainee) (23 Nov 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.