Steven Alexander Stockman

Watch for changes

Where they hold approval

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

KMC Wealth Management Ltd (no longer approved here)
FRN 612157
- (6)Employed By (13 Jan 2019 to 31 Jul 2020)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF1 Director (AR) (26 Jun 2012 to 27 Mar 2019)
- CF30 Customer (26 Jun 2012 to 31 Jul 2020)
Openwork Limited (no longer approved here)
FRN 408285
- CF1 Director (AR) (14 Nov 2007 to 3 Jul 2012)
- CF30 Customer (1 Nov 2007 to 3 Jul 2012)
- CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
Zurich Introducer Network Ltd (no longer approved here)
FRN 207639
- Employed By (18 Mar 2004 to 31 Jul 2020)

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.