James Alan 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.

  • Arnott Guy & Co Ltd

    FRN 424079

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 10. Broker fund adviser
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [PRA CF] Key function holder (since 6 May 2025)
    • [FCA CF] Client dealing (since 6 May 2025)
    • [FCA CF] Functions requiring qualifications (since 6 May 2025)
    • [FCA CF] Significant management (since 6 May 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 18 Nov 2022)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Functions requiring qualifications (1 Dec 2022 to 28 Mar 2025)
    • [FCA CF] Client dealing (1 Dec 2022 to 28 Mar 2025)

Recent activity

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

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