Advisor Application

Section 2 – Employment History Please provide details of your employment over the last 10 years, starting with the most recent. Further employment history will be required if you have held an authorised advisor position previously but not in the last 6 years. Any employment gaps longer than 28 days must be explained, advising if any benefits were claimed and with which Benefits Office you were registered. If in full time education during the last ten years, please provide details.

Section 3 – Business Mix Please state an approximate percentage split of how you conduct your business:

Section 4 – Qualifications & Training Professional Qualifications Achieved:

Section 5 – Reputation & Character

In relation to activities regulated by the FSA or any other regulatory body: i.have you or ii.any company, partnership or unincorporated association of which you have been a controller, director, senior manager, partner or company secretary, during your association with that entity and for a period of three years after you ceased to be associated with it, ever –

Has any Company, partnership, or unincorporated association of which you have been a controller, director, senior manager, partner, or company secretary, in the United Kingdom or elsewhere, at any time during the your involvement or within one year of such an involvement –

Section 6 – Statement of Assets & Liabilities

Credit Cards

Loans/Mortgages

Section 7 – Declaration

I confirm that the details contained herein and accompanying this form are true and shall be the basis of my application to join Finance Advice Group Ltd. I agree to the company making any enquiries it shall deem necessary in considering this application. I confirm that there are no material facts which may be relevant to my application that have not been disclosed. I confirm that I will notify Finance Advice Group Ltd if any material facts stated in this form change. I understand that the company may decline this application at their sole discretion and shall have no duty to me to disclose the grounds for the declinature. I understand that this application is not a binding agreement to join Finance Advice Group Ltd. I understand that I will not be authorised to give any advice under the Finance Advice Group Ltd agreement until my appointment has been successful and fully agreed and confirmed, in writing by Finance Advice Group Ltd. External Checks I agree that Finance Advice Group Ltd or its agents are authorised to make such enquiries of such persons (including employers, landlords, accountants and solicitors) as it deems necessary to confirm the truth and accuracy of the above information for credit reference purposes. I further agree that Finance Advice Group Ltd or its agents are authorised to undertake checks with relevant credit agencies and with the Criminal Records Bureau. Data Protection I agree that the information on this form and any other information about me that is given to or obtained by Finance Advice Group Ltd may be dealt with by Finance Advice Group Ltd as follows:- Finance Advice Group Ltd may use such information for the purposes of assessing this application and, if the application is successful, managing and administering my on-going relationship with Finance Advice Group Ltd and may store such information (in paper and/or electronic forms) for as long as is necessary in connection with such uses; Finance Advice Group Ltd may disclose such information: a) to third parties, including credit reference Agencies and the Criminal Records Bureau, for the purposes of making enquiries in connection with this application – see ‘Disclosure of information’ above; b) for compliance purposes, to the Financial Conduct Authority and/or any other relevant regulator or authority; c) to any other third party for the purposes of fraud prevention. Confidentiality I acknowledge that in connection with this application and any subsequent induction training, I may obtain confidential information about Finance Advice Group Ltd including (but not limited to) compliance training materials. I confirm that I will keep such information strictly confidential and will not use it, or disclose it to any other person, except: a) to the extent that such use or disclosure is strictly necessary for the purposes of progressing the application; and b) where disclosed to another person, on condition that I will ensure that such person keeps the information in question strictly confidential. To the best of my knowledge and belief the information contained herein is accurate and correct: