Adrian James Clayfield

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.

  • Willow Financial Planning Limited

    FRN 577482

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 11. Pension transfer specialist
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Feb 2023)
    • [FCA CF] Client dealing (since 9 Feb 2023)
  • SP Financial Management Limited (no longer approved here)

    FRN 171137

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Nov 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 8 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Nov 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Nov 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Nov 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 8 Nov 2022)
    • CF11 Money Laundering Reporting (15 Sep 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (18 Mar 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (21 Nov 2003 to 31 Oct 2007)
    • CF1 Director (21 Nov 2003 to 8 Dec 2019)
  • Aurea Financial Planning Limited (no longer approved here)

    FRN 121212

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 7 Nov 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Nov 2003)
    • CF10 Compliance Oversight (1 Dec 2001 to 7 Nov 2003)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 7 Nov 2003)
    • CF1 Director (1 Dec 2001 to 7 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2003)

Recent activity

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

No changes recorded yet.