Steven O'Neill

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Steven John O'Neill

    FRN 997666

    • 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)
    • [FCA CF] Functions requiring qualifications (since 15 May 2024)
    • SMF16 Compliance Oversight (since 15 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 May 2024)
    • Sole trader dealing with clients for which they require qualification (since 15 May 2024)
    • [FCA CF] Client dealing (since 15 May 2024)
    • Appointed representative dealing with clients for which they require qualification (15 May 2024 to 3 Jun 2024)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • [FCA CF] Client dealing (18 Oct 2021 to 20 Aug 2024)
    • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 20 Aug 2024)
    • CF30 Customer (1 Jan 2013 to 30 Dec 2013)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (12 Feb 2021 to 31 Aug 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Aug 2021)
  • Tenet & You Limited (no longer approved here)

    FRN 455280

    • Employed By (12 Feb 2021 to 31 Aug 2021)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (23 Jan 2014 to 30 Sep 2016)
  • Forth Financial Services Ltd (no longer approved here)

    FRN 211003

    • (6)Employed By (23 Jan 2014 to 30 Sep 2016)

Recent activity

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

No changes recorded yet.