Simon Grant Walker

Last updated
6 days ago
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Where they hold approval

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

  • SGW Wealth Management Ltd

    FRN 931393

    • 11. Pension transfer specialist
    • 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
    • Responsible for Insurance Distribution (since 14 Dec 2020)
    • SMF16 Compliance Oversight (since 14 Dec 2020)
    • SMF3 Executive Director (since 14 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • [FCA CF] Client dealing (since 19 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 24 Dec 2008)
    • CF21 Investment Adviser (19 Jul 2007 to 31 Oct 2007)
  • Dhanda Financial (no longer approved here)

    FRN 192968

    • Employed By (19 Jul 2007 to 24 Dec 2008)
  • Three Counties Limited (no longer approved here)

    FRN 145005

    • Responsible for Insurance Mediation (14 Jan 2005 to 31 May 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 May 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 31 May 2007)
    • CF1 Director (1 Dec 2001 to 31 May 2007)

Recent activity

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

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