Simon David Gough

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.

  • Stirling House Financial Services Limited

    FRN 413234

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (7 Sep 2012 to 8 Dec 2019)
    • CF30 Customer (24 Jun 2009 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 18 Jun 2009)
    • CF7 Sole Trader (AR) (25 Oct 2006 to 31 Jan 2007)
    • CF21 Investment Adviser (18 Jun 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Nov 2003 to 18 Jun 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 22 Sep 2003)

Recent activity

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

No changes recorded yet.