Steven Eric Grundy

Last updated
1 week ago
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Where they hold approval

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

  • E & S Financial Planning Ltd

    FRN 837818

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 3 Jun 2019)
    • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
    • CF1 Director (3 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jun 2019 to 8 Dec 2019)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (1 Nov 2007 to 30 Oct 2015)
    • CF21 Investment Adviser (9 Apr 2003 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (9 Apr 2003 to 31 Jan 2007)
  • Steven Grundy (no longer approved here)

    FRN 224152

    • (1)Employed By (9 Apr 2003 to 30 Oct 2015)

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

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