Stephen Trowbridge

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.

  • Stephen Trowbridge

    FRN 496377

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (2 Apr 2009 to 8 Dec 2019)
  • Ward House Mortgages & Life (no longer approved here)

    FRN 474827

    • CF30 Customer (2 Jan 2008 to 31 Dec 2008)
  • Ward House Financial Services (K478) (no longer approved here)

    FRN 154995

    • (6)Employed By (6 Jul 2005 to 30 Dec 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2005)

Recent activity

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

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