Simon George Richard Allen

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.

  • SPECIALIST PRIVATE WEALTH LIMITED

    FRN 441386

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 11 Jan 2021)
    • [FCA CF] Client dealing (since 11 Jan 2021)
  • Quilter Private Client Advisers Limited (no longer approved here)

    FRN 227836

    • (104)Employed By (2 Apr 2020 to 11 Jan 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Jan 2021)
    • CF30 Customer (31 Jul 2019 to 11 Jan 2021)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (363)Employed By (31 Jul 2019 to 11 Jan 2021)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (2 Jul 2018 to 2 Aug 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 17 Jun 2018)
    • CF21 Investment Adviser (27 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 May 2006 to 27 Nov 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (13 Jul 2004 to 28 Apr 2006)

Recent activity

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

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