Adam John Jones

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Where they hold approval

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

Adam Jones
FRN 610011
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 10. Broker fund adviser
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (2 Jan 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
Aspen Financial Services Limited (no longer approved here)
FRN 467126
- CF30 Customer (7 May 2013 to 19 Dec 2013)

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

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A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.