Stephen David Penny

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF1 Director (AR) (30 Apr 2013 to 7 May 2013)
- CF30 Customer (30 Apr 2013 to 14 Jan 2020)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- CF1 Director (AR) (30 Apr 2013 to 10 Sep 2013)
Financial Planning Business Limited (no longer approved here)
FRN 598887
- (2)Employed By (30 Apr 2013 to 14 Jan 2020)
Fairstone Financial Management Limited (no longer approved here)
FRN 475973
- CF30 Customer (11 Sep 2012 to 27 Nov 2012)

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.