Steven John Vallery

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.

  • S4 FINANCIAL LIMITED

    FRN 401372

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (12 Apr 2016 to 30 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Aug 2004 to 31 Oct 2007)
    • CF1 Director (23 Aug 2004 to 8 Dec 2019)
  • Scottish Equitable Plc (no longer approved here)

    FRN 165548

    • CF21 Investment Adviser (1 Dec 2001 to 20 May 2002)

Recent activity

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

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