Simon Gerald Hardstaff

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Apogee Wealth Management Limited

    FRN 503713

    • 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
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 12 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 May 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 12 May 2023)
    • CF10 Compliance Oversight (30 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jan 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (23 Jan 2012 to 30 Sep 2018)
    • CF30 Customer (8 Oct 2009 to 8 Dec 2019)
    • CF1 Director (8 Oct 2009 to 8 Dec 2019)
  • Cullen Wealth Limited (no longer approved here)

    FRN 224355

    • CF30 Customer (1 Nov 2007 to 7 Oct 2009)
    • CF21 Investment Adviser (16 May 2005 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (16 May 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Jan 2005 to 16 May 2005)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (17 Dec 2003 to 17 Jan 2005)
    • CF22 Investment Adviser (Trainee) (29 Nov 2002 to 17 Dec 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (17 Dec 2003 to 17 Jan 2005)
    • CF22 Investment Adviser (Trainee) (29 Nov 2002 to 17 Dec 2003)

Recent activity

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

No changes recorded yet.