Al Spall

Last updated
6 days ago
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Where they hold approval

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

  • MAP Financial Planning Ltd

    FRN 930272

    • 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 22 Jan 2021)
    • Responsible for Insurance Distribution (since 22 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jan 2021)
    • SMF3 Executive Director (since 22 Jan 2021)
    • [FCA CF] Client dealing (since 22 Jan 2021)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jan 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Jan 2020)
    • CF30 Customer (22 Jul 2013 to 8 Dec 2019)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (10 Dec 2010 to 31 May 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (13 May 2008 to 11 Dec 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.