Gareth John Simon

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.

  • Ward Goodman Financial Services Ltd

    FRN 221867

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 2 May 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (AR) (since 16 Oct 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (1 Mar 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2012 to 8 Dec 2019)
    • CF21 Investment Adviser (20 Nov 2003 to 31 Oct 2007)
  • Blanchards Bailey Financial Services Ltd

    FRN 544565

    • Employed By (since 1 Apr 2011)
  • HK Financial Advice Service Ltd

    FRN 440977

    • Employed By (since 25 Oct 2005)
  • Ward Goodman Asset Management Ltd (no longer approved here)

    FRN 574152

    • Employed By (1 Feb 2012 to 28 Nov 2017)
  • TFS Financial Services Limited (no longer approved here)

    FRN 227497

    • Employed By (20 Nov 2003 to 29 Jun 2007)

Recent activity

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

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