Lee John Spooner

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.

  • A.G.B. Financial Services Limited

    FRN 467705

    • 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 1 Nov 2020)
    • [FCA CF] Client dealing (since 1 Nov 2020)
  • The Wealth Group Limited

    FRN 443827

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 10 May 2011)
  • Kendall Wadley Wealth Limited

    FRN 579272

    • (3)Employed By (since 12 Dec 2012)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)
    • Employed By (25 Apr 2001 to 16 Mar 2005)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.