Stuart Robert Cripps

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.

  • BUILTH WELLS FINANCIAL PLANNING LIMITED

    FRN 440573

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (23 Aug 2004 to 14 Jul 2006)
    • CF21 Investment Adviser (3 Jun 2004 to 14 Jul 2006)
  • Builth Wells Financial Services Ltd (no longer approved here)

    FRN 217693

    • Employed By (3 Jun 2004 to 14 Jul 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 28 May 2004)

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