Stuart David Maddocks

Watch for changes

Where they hold approval

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

WREN STERLING FINANCIAL PLANNING LIMITED
FRN 665653
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 21 Feb 2024)
- [FCA CF] Functions requiring qualifications (since 21 Feb 2024)
Greystone Financial Services Limited (no longer approved here)
FRN 154622
- CF30 Customer (1 Dec 2010 to 18 Apr 2011)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (4 Nov 2008 to 1 Nov 2010)
Simple Financial Advice Limited (no longer approved here)
FRN 456653
- CF30 Customer (1 Nov 2007 to 1 Nov 2008)
- CF22 Investment Adviser (Trainee) (23 Jul 2007 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.