Simon James Whitby

Last updated
1 week ago
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Where they hold approval

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

  • Amulet Private Office Limited

    FRN 912920

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Jul 2024)
    • [FCA CF] Client dealing (since 31 Jul 2024)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • [FCA CF] Manager of certification employee (1 Jul 2021 to 30 Jul 2022)
    • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 31 Jul 2024)
    • [FCA CF] Client dealing (1 Jul 2021 to 31 Jul 2024)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (3 Apr 2012 to 24 May 2013)

Recent activity

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

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