Simon Brian Dickerson

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.

  • MEDICAL & FINANCIAL LIMITED

    FRN 468636

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Sep 2024)
    • [FCA CF] Client dealing (since 15 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 15 Jun 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (12 Nov 2012 to 5 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 5 Oct 2021)
    • CF10 Compliance Oversight (1 Oct 2007 to 8 Dec 2019)
    • CF1 Director (1 Oct 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (1 Oct 2007 to 30 Sep 2018)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF22 Investment Adviser (Trainee) (23 Feb 2005 to 13 Jan 2006)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF21 Investment Adviser (14 Jan 2005 to 31 Jan 2005)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2005)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2005)

Recent activity

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

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