Andrew Stephenson

Last updated
6 days ago
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Where they hold approval

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

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 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
    • [FCA CF] Client dealing (since 6 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2025)
  • Penvest Limited

    FRN 407889

    • 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)
    • [FCA CF] Client dealing (since 22 Dec 2022)
    • [FCA CF] Functions requiring qualifications (since 22 Dec 2022)
  • Insight Financial Associates Limited

    FRN 458421

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (13 Aug 2015 to 8 Dec 2019)
  • D B Financial Management Limited

    FRN 522214

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (1 Nov 2007 to 14 Apr 2015)
    • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Nov 2005 to 29 Oct 2007)
  • N.F.U. Mutual Unit Managers Limited (no longer approved here)

    FRN 121922

    • CF22 Investment Adviser (Trainee) (2 Sep 2004 to 18 Oct 2004)

Recent activity

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

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