Simon John Waters

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.

  • Active Financial Partners Limited

    FRN 301860

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 27 Feb 2026)
    • [FCA CF] Client dealing (since 27 Feb 2026)
    • [FCA CF] Manager of certification employee (since 19 Sep 2025)
    • [FCA CF] Manager of certification employee (28 Mar 2025 to 27 Jun 2025)
    • [FCA CF] Client dealing (28 Mar 2025 to 27 Jun 2025)
    • [FCA CF] Functions requiring qualifications (28 Mar 2025 to 27 Jun 2025)
  • Metis Wealth Ltd

    FRN 599292

    • [FCA CF] Manager of certification employee (since 19 Sep 2025)
  • Argentis Wealth Management Ltd

    FRN 419331

    • 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)
    • [FCA CF] Manager of certification employee (since 1 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 23 Aug 2022)
    • [FCA CF] Client dealing (since 23 Aug 2022)
  • Argentis Financial Planning Ltd

    FRN 624277

    • 9A. Advising on P2P agreements
    • 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)
    • [FCA CF] Manager of certification employee (since 1 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 23 Aug 2022)
    • [FCA CF] Client dealing (since 23 Aug 2022)
  • Age Partnership Wealth Management Limited (no longer approved here)

    FRN 670493

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jul 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Jul 2022)
    • CF30 Customer (5 Feb 2018 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (10 Oct 2012 to 12 Jun 2013)
  • Ashley Financial Services Ltd (no longer approved here)

    FRN 588992

    • Employed By (10 Oct 2012 to 12 Jun 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (17 Aug 2009 to 29 Oct 2011)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (25 May 2007 to 28 Sep 2007)

Recent activity

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

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