Adam James Maynard

Last updated
1 week ago
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Where they hold approval

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

  • Spencer Maynard W M Limited

    FRN 917152

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Jul 2020)
    • Responsible for Insurance Distribution (since 27 Jul 2020)
    • SMF3 Executive Director (since 27 Jul 2020)
    • Responsibility for MCD Intermediation (since 27 Jul 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 23 Apr 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Apr 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (29 Sep 2015 to 12 Nov 2015)
    • CF1 Director (AR) (29 Sep 2015 to 12 Nov 2015)
  • AJM Financial Planning Limited (no longer approved here)

    FRN 717745

    • Employed By (29 Sep 2015 to 12 Nov 2015)

Recent activity

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

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