Simon Andrew Potter

Last updated
1 week ago
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Where they hold approval

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

  • Simon Potter Investments Limited

    FRN 912826

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 26 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 1 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2020)
    • SMF3 Executive Director (since 1 Apr 2020)
    • Responsible for Insurance Distribution (since 1 Apr 2020)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2020)
    • CF1 Director (AR) (11 Apr 2017 to 30 Mar 2020)
    • CF30 Customer (11 Apr 2017 to 30 Mar 2020)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Nov 2009)
    • CF21 Investment Adviser (9 Feb 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Nov 2004 to 9 Feb 2005)

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