Steven Roberts

Last updated
1 week ago
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Where they hold approval

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

  • Sandringham Financial Partners Limited

    FRN 581304

    • 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 12 Oct 2020)
    • [FCA CF] Client dealing (since 12 Oct 2020)
  • Broadgate Wealth Client Servicing LLP (no longer approved here)

    FRN 815602

    • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (18 Feb 2013 to 21 May 2014)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (289)Employed By (18 Feb 2013 to 21 May 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 8 May 2012)
    • CF22 Investment Adviser (Trainee) (16 Oct 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (15 Nov 2006 to 24 Aug 2007)

Recent activity

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

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