David Spence Financial Options

Date authorised
1 April 2013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Berkley House
    Warren Drive
    Ringwood
    Dorset
    BH24 2AS
    UNITED KINGDOM
    Phone
    +4407932785015

  • Complaints Contact

    Berkley House
    Warren Drive
    Ringwood
    Dorset
    BH24 2AS
    UNITED KINGDOM
    Phone
    +4407932785015

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Spence

    IRN DXS00056

    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 11 Jan 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Apr 2007 to 30 Sep 2018)
    • CF21 Investment Adviser (21 May 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (21 May 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (21 May 2003 to 31 Mar 2009)
    • CF10 Compliance Oversight (21 May 2003 to 8 Dec 2019)
    • CF4 Partner (11 Feb 2003 to 8 Dec 2019)
  • Jacqueline Karen Lock

    IRN JXL00118

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (11 Feb 2003 to 8 Dec 2019)

Recent activity

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

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