Steven Braidford

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.

  • Finli (FLP) Ltd

    FRN 586744

    • 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)
    • [FCA CF] Client dealing (since 21 Oct 2021)
    • SMF3 Executive Director (since 30 Apr 2021)
    • [FCA CF] Significant management (since 11 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 11 Feb 2021)
    • Responsibility for MCD Intermediation (30 Apr 2021 to 10 Feb 2025)
    • Responsible for Insurance Distribution (30 Apr 2021 to 10 Feb 2025)
    • SMF16 Compliance Oversight (30 Apr 2021 to 10 Feb 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (30 Apr 2021 to 10 Feb 2025)
    • [FCA CF] Manager of certification employee (11 Feb 2021 to 21 Oct 2021)
  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • Responsibility for MCD Intermediation (21 Mar 2016 to 14 Jul 2017)
    • Responsible for Insurance Mediation (15 Nov 2012 to 14 Jul 2017)
    • CF30 Customer (15 Nov 2012 to 27 Jul 2018)
    • CF1 Director (15 Nov 2012 to 14 Jul 2017)
  • SKYBOUND WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 217994

    • CF30 Customer (1 Nov 2007 to 17 Jan 2008)
    • CF21 Investment Adviser (11 Dec 2002 to 31 Oct 2007)
  • Independent Financial Choices Ltd (502) (no longer approved here)

    FRN 192593

    • (6)Employed By (1 Dec 2001 to 17 Jan 2008)

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

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