Steven Michael Harryman

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.

  • Brampton Financial Management Ltd

    FRN 448416

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 15 Jan 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (27 Apr 2006 to 31 Mar 2009)
    • CF10 Compliance Oversight (27 Apr 2006 to 8 Dec 2019)
    • CF1 Director (27 Apr 2006 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (27 Apr 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (27 Apr 2006 to 30 Sep 2018)
    • CF21 Investment Adviser (27 Apr 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (27 Apr 2006 to 8 Dec 2019)
  • City Financial Planning Ltd (no longer approved here)

    FRN 200112

    • Employed By (16 Mar 2004 to 17 Jun 2005)
  • Ridgeway Financial Partnership (no longer approved here)

    FRN 182351

    • (6)Employed By (5 Feb 2004 to 16 Mar 2004)

Recent activity

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

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