Lisa Catherine Spain

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Just Financial Group Ltd

    FRN 739938

    • 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 11 Feb 2020)
    • [FCA CF] Client dealing (since 11 Feb 2020)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (19 Jul 2012 to 6 Mar 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (23 Oct 2008 to 5 Aug 2010)
    • CF21 Investment Adviser (3 Aug 2004 to 7 Sep 2006)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.