Need to check if an adviser you are dealing with or have come across is independent or restricted?

 

Any adviser or adviser firm should inform you very early on when you contact them whether they are independent or restricted and should make this clear in any marketing literature or on their website, ahead of you contacting them.

However, it may not always be clear and if you need our help we know how to check the regulated status of a firm or an individual adviser and confirm whether they are independent or restricted. We can also understand, if they are restricted, the nature of their restriction.

If you would like us to check for you we can do so, although we will not present any view of the suitability of the adviser, regardless of their status as we full recognise that many people are happy to deal with a restricted adviser or adviser firm and such firms, restricted and independent, all must meet the same regulated standards.

But you might want clarity, if it is not obvious what status a firm has. In this case please complete this short form:

 

 

We will then email you details of how you can check and provide a link to the relevant regulatory area and provide you with a short summary of the firm’s regulated status in relation to restricted or independent.