Steve Spruce

Watch for changes

Where they hold approval

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

Independent Wealth Management Consultants Ltd (no longer approved here)
FRN 138903
- CF1 Director (9 Jul 2009 to 28 Feb 2011)
- CF11 Money Laundering Reporting (9 Jul 2009 to 28 Feb 2011)
- CF30 Customer (9 Jul 2009 to 21 Jul 2010)
TenetConnect Services Limited (no longer approved here)
FRN 150643
- CF21 Investment Adviser (1 Dec 2001 to 26 Jul 2002)
- CF7 Sole Trader (AR) (1 Dec 2001 to 26 Jul 2002)
Tower House Financial Services (no longer approved here)
FRN 188120
- Employed By (1 Dec 2001 to 31 Jul 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.