Steven Wombwell

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Steven Wombwell IFA

    FRN 538166

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2011 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2011 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (12 May 2023 to 24 May 2023)
    • [FCA CF] Client dealing (12 May 2023 to 24 May 2023)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 12 May 2011)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Feb 2007 to 2 Apr 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 26 Feb 2007)

Recent activity

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

No changes recorded yet.