Robert James Simpson

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Succession Financial Management Limited

    FRN 225831

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 May 2023)
    • [FCA CF] Client dealing (since 9 May 2023)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 May 2023)
    • [FCA CF] Functions requiring qualifications (since 9 May 2023)
  • Frenkel Topping Limited (no longer approved here)

    FRN 145186

    • CF30 Customer (19 Dec 2017 to 12 Jan 2018)
  • Forte Wealth Management Limited (no longer approved here)

    FRN 796645

    • (3)Employed By (19 Dec 2017 to 12 Jan 2018)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (6)CF1 Director (21 Jun 2016 to 4 Oct 2017)
    • (5)CF30 Customer (21 Jun 2016 to 4 Oct 2017)
  • Bartlett & Company Limited (no longer approved here)

    FRN 301695

    • CF1 Director (7 Nov 2014 to 14 Mar 2016)
  • Bartlett Wealth Management Ltd (no longer approved here)

    FRN 114800

    • CF3 Chief Executive (17 Feb 2014 to 14 Mar 2016)
    • CF11 Money Laundering Reporting (23 Jan 2013 to 14 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 14 Mar 2016)
    • CF21 Investment Adviser (23 May 2007 to 31 Oct 2007)
    • CF1 Director (23 May 2007 to 14 Mar 2016)
    • CF10 Compliance Oversight (3 Oct 2006 to 1 Oct 2011)

Recent activity

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

  1. controlled function removed: Employed By at Forte Wealth Management Limited

  2. controlled function added: (3)Employed By at Forte Wealth Management Limited

  3. controlled function added: (5)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function added: (6)CF1 Director at ELLIS BATES WEALTH MANAGEMENT LTD