Steven Ronald Johnson

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.

  • S Johnson Wealth Management LLP

    FRN 631765

    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (5 Jan 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Jan 2015 to 8 Dec 2019)
    • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
    • CF4 Partner (5 Jan 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)

Recent activity

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

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