Simon David William Hopes

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 19 Oct 2021)
    • CF1 Director (AR) (since 19 Oct 2021)
    • CF30 Customer (since 19 Oct 2021)
  • Amplify Wealth Management Limited

    FRN 952481

    • (2)Employed By (since 19 Oct 2021)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2020 to 31 Mar 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 19 Nov 2020)
    • CF30 Customer (21 Nov 2013 to 6 Mar 2016)
  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 114724

    • [FCA CF] Manager of certification employee (26 Jul 2018 to 14 May 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 21 Oct 2004)

Recent activity

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

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