Max Jago Spurgeon

Last updated
3 weeks ago
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Where they hold approval

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

  • LEGAL & MEDICAL INVESTMENTS LIMITED

    FRN 185193

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Feb 2021)
    • Responsible for Insurance Distribution (since 18 Feb 2021)
    • Responsibility for MCD Intermediation (since 18 Feb 2021)
    • SMF16 Compliance Oversight (since 3 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (2 Jul 2013 to 15 Dec 2023)
    • CF1 Director (13 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 15 Dec 2023)
    • CF21 Investment Adviser (21 Jul 2004 to 31 Oct 2007)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF22 Investment Adviser (Trainee) (13 Feb 2003 to 9 Jul 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF22 Investment Adviser (Trainee) (13 Feb 2003 to 9 Jul 2004)

Recent activity

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

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