Howard Spargo

Last updated
5 days ago
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Where they hold approval

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

  • Nineteen Wealth Management Ltd

    FRN 1002299

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 15 Mar 2024)
    • Responsibility for MCD Intermediation (since 15 Mar 2024)
    • Responsible for Insurance Distribution (since 15 Mar 2024)
    • SMF16 Compliance Oversight (since 15 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2024)
    • SMF3 Executive Director (since 15 Mar 2024)
    • [FCA CF] Client dealing (since 15 Mar 2024)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 Mar 2024)
    • CF4 Partner (AR) (2 Sep 2013 to 14 Mar 2024)
    • CF30 Customer (4 Jan 2012 to 14 Mar 2024)
  • Brightside Financial Planning LLP (no longer approved here)

    FRN 603923

    • Employed By (17 Jul 2013 to 14 Mar 2024)
  • Franklyn Financial Management Ltd (no longer approved here)

    FRN 416194

    • (14)Employed By (30 Sep 2009 to 10 Jan 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (23 Jan 2008 to 10 Jan 2012)

Recent activity

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

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