Spencer Paul Thompson

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.

  • UNBIASED FINANCIAL PLANNING LTD.

    FRN 622476

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 5 Jul 2018)
    • CF10 Compliance Oversight (5 Jul 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Jul 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (29 Jul 2014 to 8 Dec 2019)
    • CF1 Director (29 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (29 Jul 2014 to 8 Dec 2019)
  • Star Financial Planning Limited (no longer approved here)

    FRN 213326

    • CF30 Customer (25 Feb 2011 to 11 Jul 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 27 Jul 2009)
    • CF22 Investment Adviser (Trainee) (16 May 2007 to 31 Oct 2007)

Recent activity

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

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