Stephen William Herring

Watch for changes

Where they hold approval

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

RLUM Limited (no longer approved here)
FRN 144032
- CF30 Customer (1 Apr 2009 to 18 Jul 2009)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (24 Apr 2006 to 13 Jul 2007)
- CF22 Investment Adviser (Trainee) (6 Sep 2005 to 24 Apr 2006)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- CF21 Investment Adviser (1 Dec 2001 to 27 May 2002)
The Bank of New York Mellon (International) Limited (no longer approved here)
FRN 183100
- CF21 Investment Adviser (1 Dec 2001 to 27 May 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.