Kalpesh Shah

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • ADVISER BUSINESS SOLUTIONS LIMITED

    FRN 190181

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • CF30 Customer (since 3 Feb 2026)
    • Appointed representative dealing with clients for which they require qualification (since 18 Aug 2025)
    • [FCA CF] Client dealing (since 18 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 18 Aug 2025)
  • DMJ Associates

    FRN 468860

    • (8)Employed By (since 3 Feb 2026)
  • Vintage Wealth Management Limited (no longer approved here)

    FRN 593380

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Jul 2025)
    • CF30 Customer (14 Jun 2017 to 27 Aug 2025)
  • Gravita Wealth Limited (no longer approved here)

    FRN 192082

    • (18)Employed By (15 Jun 2017 to 27 Aug 2025)
  • Simmons Gainsford Financial Services Limited (no longer approved here)

    FRN 449588

    • (19)Employed By (15 Jun 2017 to 27 Aug 2025)
  • BKL Wealth Management Limited (no longer approved here)

    FRN 607954

    • Employed By (15 Jun 2017 to 27 Aug 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 4 Apr 2017)
    • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jun 2007 to 9 Oct 2007)
  • AAGSJP Ltd (no longer approved here)

    FRN 402015

    • (37)Employed By (14 Jun 2007 to 4 Apr 2017)

Recent activity

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

  1. controlled function removed: Employed By at AAGSJP Ltd

  2. controlled function added: (37)Employed By at AAGSJP Ltd