STUART Arnold

Last updated
6 days ago
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Where they hold approval

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

  • SCOTTSBRIDGE FINANCIAL PLANNING LTD.

    FRN 954112

    • 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
    • SMF3 Executive Director (since 14 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Oct 2021)
    • SMF16 Compliance Oversight (since 14 Oct 2021)
    • Responsible for Insurance Distribution (since 14 Oct 2021)
    • Responsibility for MCD Intermediation (since 14 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 14 Oct 2021)
    • [FCA CF] Client dealing (since 14 Oct 2021)
    • [PRA CF] Key function holder (14 Oct 2021 to 14 Oct 2021)
    • Director of firm who is not a certification employee or a SMF manager (14 Oct 2021 to 17 May 2024)
    • [FCA CF] Benchmark submission and administration (14 Oct 2021 to 14 Oct 2021)
    • [FCA CF] Significant management (14 Oct 2021 to 14 Oct 2021)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (1 Jun 2021 to 23 Jun 2021)
  • Atomos Financial Planning Limited (no longer approved here)

    FRN 193503

    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 31 Aug 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
    • CF30 Customer (16 Feb 2015 to 4 Oct 2016)
  • Atomos Investments Limited (no longer approved here)

    FRN 122588

    • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (14 Nov 2016 to 1 Jul 2019)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (521)Employed By (14 Nov 2016 to 1 Jul 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 16 Jan 2015)
    • CF21 Investment Adviser (27 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Mar 2006 to 27 Dec 2006)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (701)Employed By (2 Jun 2005 to 6 Sep 2005)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (17 Dec 2004 to 6 Sep 2005)
  • Abacus Asset Investment Limited (no longer approved here)

    FRN 206209

    • Employed By (17 Dec 2004 to 1 Jul 2019)
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