Steven Paul Lloyd

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.

  • Whitechurch Securities Limited (no longer approved here)

    FRN 114318

    • SMF3 Executive Director (14 Aug 2024 to 12 Feb 2025)
  • Ascot Lloyd Investment Management Limited (no longer approved here)

    FRN 650245

    • [FCA CF] Manager of certification employee (17 Nov 2022 to 12 Feb 2025)
    • [FCA CF] Significant management (17 Nov 2022 to 12 Feb 2025)
    • [FCA CF] Material risk taker (8 Jul 2021 to 12 Feb 2025)
    • [FCA CF] Client dealing (8 Jul 2021 to 17 Nov 2022)
    • [FCA CF] Functions requiring qualifications (8 Jul 2021 to 17 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 12 Feb 2025)
    • CF1 Director (5 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (9 Feb 2015 to 8 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • SMF18 Other Overall Responsibility (18 Mar 2022 to 12 Feb 2025)
    • CF30 Customer (23 Apr 2018 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (2 Aug 2011 to 2 Feb 2012)

Recent activity

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

No changes recorded yet.