Stephen Wales

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 4 Jun 2025)
  • Quilter Financial Planning Solutions Limited

    FRN 184591

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (12 Oct 2010 to 8 Dec 2019)
  • The Pension Drawdown Company Limited (no longer approved here)

    FRN 191339

    • Employed By (13 Aug 2008 to 12 Nov 2010)
  • Lewis & Co (Investments & Pensions) Limited (no longer approved here)

    FRN 143646

    • CF30 Customer (1 Nov 2007 to 4 Jun 2008)
    • CF21 Investment Adviser (12 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 Dec 2005 to 12 Jan 2007)

Recent activity

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

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