Kim Spence

Last updated
1 week ago
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Where they hold approval

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

  • Leodis Wealth Limited

    FRN 707896

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2022)
    • [FCA CF] Client dealing (since 11 Oct 2021)
    • Appointed representative dealing with clients for which they require qualification (11 Oct 2021 to 1 Sep 2022)
  • Hentons Wealth Limited (no longer approved here)

    FRN 809391

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Oct 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Oct 2021)
    • CF30 Customer (3 Jan 2019 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (29 Oct 2013 to 1 Mar 2019)
  • Financial Therapeutics UK Ltd (no longer approved here)

    FRN 527915

    • CF30 Customer (20 Aug 2012 to 1 Nov 2013)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (28 May 2009 to 26 Jul 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 4 Jun 2009)
    • CF21 Investment Adviser (29 May 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 Mar 2002 to 29 May 2003)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF22 Investment Adviser (Trainee) (29 May 2003 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (29 May 2003 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (19 Mar 2002 to 29 May 2003)

Recent activity

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

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