Steven Kay

• Rosemount Financial Solutions (IFA) Limited

  FRN 535515

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 28 Jun 2024)
  • CF30 Customer (since 30 May 2024)
  • [FCA CF] Client dealing (since 7 Aug 2023)
  • [FCA CF] Functions requiring qualifications (11 Aug 2023 to 28 Jun 2024)
• Secure For Life Wealth Management Limited

  FRN 912517

  • (6)Employed By (since 30 May 2024)
• QUILTER WEALTH LIMITED (no longer approved here)

  FRN 217742

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Feb 2021)
  • CF30 Customer (18 Feb 2019 to 5 Feb 2021)
• TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

  FRN 230342

  • CF30 Customer (20 Nov 2017 to 28 Dec 2018)
• St. James's Place Wealth Management Plc (no longer approved here)

  FRN 195351

  • CF30 Customer (24 Oct 2016 to 22 Feb 2017)
• TrinityBridge Limited (no longer approved here)

  FRN 119329

  • CF30 Customer (16 May 2016 to 7 Jun 2016)
• Shacklocks LLP (no longer approved here)

  FRN 552510

  • CF30 Customer (25 Aug 2015 to 2 Oct 2015)
• Lighthouse Advisory Services Limited (no longer approved here)

  FRN 195199

  • CF30 Customer (23 Jun 2014 to 24 Sep 2015)
• Lighthouse Financial Advice Limited (no longer approved here)

  FRN 225502

  • (613)Employed By (23 Jun 2014 to 23 Sep 2015)
• Scottish Widows Unit Trust Managers Limited (no longer approved here)

  FRN 122129

  • CF30 Customer (12 Mar 2012 to 1 Jan 2013)

No changes recorded yet.