Russell David Stein

Watch for changes

Where they hold approval

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

Stein Financial Limited
FRN 448554
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF8 Apportionment and Oversight (20 Apr 2006 to 31 Mar 2009)
- CF1 Director (20 Apr 2006 to 8 Dec 2019)
- Responsible for Insurance Mediation (20 Apr 2006 to 30 Sep 2018)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 May 2002)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF21 Investment Adviser (1 Dec 2001 to 3 May 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.