Stephen Wright

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

    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 7 Feb 2024)
    • [FCA CF] Client dealing (since 2 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (2 Mar 2020 to 18 Mar 2021)
    • [FCA CF] CASS oversight function (2 Mar 2020 to 18 Mar 2021)
    • [PRA CF] Key function holder (2 Mar 2020 to 18 Mar 2021)
    • CF11 Money Laundering Reporting (19 Feb 2014 to 8 Dec 2019)
    • CF4 Partner (19 Feb 2014 to 8 Dec 2019)
    • CF30 Customer (19 Feb 2014 to 8 Dec 2019)
  • Orr Kerr Dykes Financial Services Limited

    FRN 197149

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jan 2021)
    • SMF3 Executive Director (since 14 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • Blue Circle Wealth Management Ltd (no longer approved here)

    FRN 537435

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Nov 2020)
    • SMF3 Executive Director (9 Dec 2019 to 15 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 15 Nov 2020)
    • CF10 Compliance Oversight (11 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (11 Jan 2018 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (11 Jan 2018 to 15 Nov 2020)
    • Responsible for Insurance Mediation (11 Jan 2018 to 30 Sep 2018)
    • CF1 Director (11 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2018 to 8 Dec 2019)

Recent activity

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

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