Steven John Leicester

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Perspective (North West) Limited

    FRN 229808

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Feb 2021 to 14 Nov 2024)
    • SMF16 Compliance Oversight (5 Feb 2021 to 14 Nov 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 15 Nov 2023)
    • CF30 Customer (16 Sep 2013 to 27 Nov 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (11 Jan 2013 to 29 Aug 2013)
  • Bright FS Ltd (no longer approved here)

    FRN 591589

    • Employed By (11 Jan 2013 to 29 Aug 2013)
  • Perennial Financial Management Limited (no longer approved here)

    FRN 402393

    • CF30 Customer (15 Sep 2008 to 27 Mar 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 2 Jun 2008)
    • CF24 Pension Transfer Specialist (23 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (30 Aug 2002 to 23 Jun 2006)
    • CF27 Investment Management (10 Apr 2002 to 30 Aug 2002)

Recent activity

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

No changes recorded yet.