Simon David Livings

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.

  • Paradigm Norton Financial Planning Ltd

    FRN 455083

    • 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 22 Mar 2021)
    • [FCA CF] Client dealing (since 22 Mar 2021)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Client dealing (9 Dec 2019 to 4 Jun 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Jun 2020)
  • Ennismore Fund Management Limited (no longer approved here)

    FRN 188574

    • CF26 Customer Trading (19 Oct 2004 to 17 Mar 2005)

Recent activity

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

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