Stephen Wayne Isham

Last updated
5 days ago
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Where they hold approval

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

  • Periscope Financial Limited

    FRN 972986

    • 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 12 Oct 2022)
    • SMF16 Compliance Oversight (since 12 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Oct 2022)
    • SMF3 Executive Director (since 12 Oct 2022)
    • [FCA CF] Client dealing (since 12 Oct 2022)
    • Responsibility for MCD Intermediation (since 12 Oct 2022)
    • Responsible for Insurance Distribution (since 12 Oct 2022)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 21 Oct 2022)
    • CF30 Customer (1 Apr 2011 to 21 Oct 2022)
    • CF1 Director (AR) (1 Apr 2011 to 21 Oct 2022)
  • TCS Financial Planning Limited (no longer approved here)

    FRN 540225

    • Employed By (26 Jan 2011 to 21 Oct 2022)

Recent activity

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

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