Stuart Graeme Startup

Last updated
2 days ago
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Where they hold approval

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

  • COTSWOLD INDEPENDENT FINANCIAL SERVICES LTD

    FRN 604634

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • Appointed representative dealing with clients for which they require qualification (since 15 Mar 2024)
    • CF1 Director (AR) (since 4 Feb 2022)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Significant management (1 Jan 2020 to 15 Mar 2024)
    • CF30 Customer (21 Oct 2013 to 8 Dec 2019)
    • CF1 Director (21 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Oct 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (21 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Oct 2013 to 8 Dec 2019)
  • Common Sense Financial Planning Ltd

    FRN 496888

    • Employed By (since 4 Feb 2022)
  • Harold Wilson Financial Services Limited (no longer approved here)

    FRN 121023

    • CF30 Customer (1 May 2009 to 3 Nov 2009)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
    • CF21 Investment Adviser (9 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (25 Aug 2005 to 9 May 2006)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
    • CF21 Investment Adviser (18 Sep 2006 to 31 Oct 2007)
  • West Bromwich Financial Planning Ltd (no longer approved here)

    FRN 452555

    • Employed By (18 Sep 2006 to 27 Mar 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (10 Dec 2004 to 25 Jul 2005)
    • CF22 Investment Adviser (Trainee) (17 Feb 2004 to 10 Dec 2004)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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