Stephen Spencer

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.

  • Astute Private Wealth Limited

    FRN 531465

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Dec 2021)
    • CF30 Customer (31 Aug 2018 to 25 Oct 2022)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • CF30 Customer (1 Aug 2016 to 24 Aug 2018)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (18 Feb 2013 to 31 Jul 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • 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.

No changes recorded yet.