Simon David Knott

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.

  • 121-Advice Ltd

    FRN 615679

    • 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 22 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 22 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (21 May 2014 to 8 Dec 2019)
    • CF1 Director (21 May 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 May 2014 to 8 Dec 2019)
    • CF30 Customer (21 May 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 May 2014 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Apr 2011 to 21 May 2014)
  • 121 Advice Limited (no longer approved here)

    FRN 494039

    • Employed By (23 Feb 2011 to 21 May 2014)
  • Temple Bar Independent Financial Advice Limited (no longer approved here)

    FRN 401740

    • CF21 Investment Adviser (17 Sep 2004 to 12 Dec 2006)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (1 Dec 2001 to 16 Nov 2004)
  • Temple Bar Independent Financial Advice (no longer approved here)

    FRN 189749

    • (2)Employed By (23 Mar 2001 to 16 Nov 2004)

Recent activity

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

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