Steven Mufti

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.

  • Steven Mufti & Associates Limited

    FRN 607613

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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] Functions requiring qualifications (since 8 Dec 2020)
    • [FCA CF] Client dealing (since 8 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (16 Dec 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Dec 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Dec 2013 to 8 Dec 2019)
    • CF30 Customer (16 Dec 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Dec 2013 to 30 Sep 2018)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 May 2013 to 31 Dec 2013)
  • Quilter Private Client Advisers Limited (no longer approved here)

    FRN 227836

    • (183)Employed By (19 Jun 2007 to 31 Dec 2013)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (15 Jan 2007 to 21 Feb 2012)
    • CF21 Investment Adviser (29 Apr 2004 to 20 Jun 2007)
  • Independent Financial Planning Group Ltd (no longer approved here)

    FRN 400436

    • (35)Employed By (29 Apr 2004 to 20 Jun 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)

Recent activity

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

No changes recorded yet.