Stuart Finnie

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.

  • KYLE CONSULTING LIMITED

    FRN 401022

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Dec 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (8 Jul 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (8 Jul 2004 to 31 Mar 2009)
    • CF10 Compliance Oversight (8 Jul 2004 to 8 Dec 2019)
    • CF1 Director (8 Jul 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Jul 2004 to 31 Oct 2007)
  • LMS Mortgage Consultants Ltd (no longer approved here)

    FRN 126020

    • Employed By (1 Dec 2001 to 5 Jun 2002)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2002)

Recent activity

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

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