Steven James Balmer

Last updated
2 days ago
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Where they hold approval

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

  • David Allen Financial Services (Dalston) Limited

    FRN 506138

    • 11. Pension transfer specialist
    • 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
    • SMF3 Executive Director (since 7 Jun 2021)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Significant management (since 9 Dec 2020)
    • Responsibility for MCD Intermediation (7 Jun 2021 to 8 Dec 2023)
    • Responsible for Insurance Distribution (7 Jun 2021 to 8 Dec 2023)
  • DA Financial Services (Dalston) Limited (no longer approved here)

    FRN 200402

    • Employed By (16 Apr 2012 to 24 Nov 2020)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (22 Dec 2004 to 8 Oct 2005)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (22 Dec 2004 to 8 Oct 2005)

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