Suzanne Eileen Stevens

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.

  • DENTONS INVESTMENT SERVICES LIMITED

    FRN 194538

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Aug 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jan 2024)
    • SMF1 Chief Executive (since 29 Jan 2024)
    • Responsibility for MCD Intermediation (since 11 Jun 2021)
    • Responsible for Insurance Distribution (since 11 Jun 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 23 Jul 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • CF1 Director (24 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (4 Oct 2012 to 8 Dec 2019)
  • The Eurofinance Partnership (no longer approved here)

    FRN 200064

    • Employed By (2 Jul 2012 to 18 Sep 2012)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (5 Feb 2010 to 17 Oct 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (15 Dec 2009 to 15 Dec 2009)
  • Elite-Wealth Management UK Ltd (no longer approved here)

    FRN 496442

    • CF30 Customer (17 Nov 2009 to 10 Dec 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 23 Oct 2009)
    • CF21 Investment Adviser (5 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 Oct 2003)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF22 Investment Adviser (Trainee) (15 Apr 2004 to 19 Aug 2004)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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