Michael David Simms

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.

  • D B Wood Limited

    FRN 209530

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 26 Oct 2020)
    • CF1 Director (AR) (27 Jul 2007 to 19 Oct 2020)
    • CF24 Pension Transfer Specialist (8 Nov 2005 to 31 Oct 2007)
    • CF1 Director (8 Nov 2005 to 7 Feb 2018)
    • CF21 Investment Adviser (7 May 2004 to 31 Oct 2007)
  • C&L Financial Planning Ltd (no longer approved here)

    FRN 221272

    • Employed By (27 Jul 2007 to 26 Oct 2020)

Recent activity

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

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