Steven Mark Balmer

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.

  • IM ASSET MANAGEMENT LIMITED

    FRN 402770

    • 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)
    • CF30 Customer (16 Jul 2015 to 8 Dec 2019)
  • Broomfield & Alexander Wealth Management Ltd (no longer approved here)

    FRN 574362

    • Employed By (22 Jan 2015 to 2 Jul 2015)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (7 Oct 2014 to 3 Jul 2015)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Jul 2014 to 14 Aug 2014)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF21 Investment Adviser (5 Jun 2007 to 24 Sep 2007)
    • CF22 Investment Adviser (Trainee) (17 Jan 2007 to 5 Jun 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (30 Mar 2005 to 19 Apr 2005)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 25 Apr 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 25 Apr 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 25 Apr 2003)

Recent activity

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

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