Stuart Alan Foulkes

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.

  • Global Advice Group Ltd

    FRN 821203

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 7 May 2019)
    • CF1 Director (7 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 May 2019 to 8 Dec 2019)
    • CF30 Customer (7 May 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (7 May 2019 to 16 Jan 2025)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (28 Apr 2016 to 18 Jul 2019)
    • CF1 Director (AR) (28 Apr 2016 to 18 Jul 2019)
  • Eildon Financial Ltd (no longer approved here)

    FRN 743319

    • Employed By (28 Apr 2016 to 19 Jul 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (16 Feb 2012 to 20 Sep 2013)
    • CF30 Customer (15 May 2008 to 20 Sep 2013)
    • CF4 Partner (AR) (15 May 2008 to 16 Feb 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.