Lee Spooner

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.

  • HARVEST ASSOCIATES LIMITED

    FRN 629749

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 3 Sep 2025)
    • [FCA CF] Functions requiring qualifications (since 3 Sep 2025)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (4 Jun 2025 to 5 Sep 2025)
    • CF1 Director (AR) (4 Jun 2025 to 19 Sep 2025)
    • CF30 Customer (4 Jun 2025 to 19 Sep 2025)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Sep 2025)
    • CF1 Director (AR) (14 Mar 2014 to 19 Sep 2025)
    • CF30 Customer (2 Apr 2012 to 19 Sep 2025)
  • OPTIMUM COMMERCIAL SOLUTIONS LTD (no longer approved here)

    FRN 808754

    • CF1 Director (7 Nov 2018 to 9 Oct 2019)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (5 Mar 2014 to 19 Sep 2025)
  • Ashley Law Limited (no longer approved here)

    FRN 498488

    • Employed By (21 Jun 2011 to 19 Sep 2025)

Recent activity

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

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