Simon Leslie Moore

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.

  • WINGATE WEALTH MANAGEMENT LIMITED

    FRN 478923

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (15 Mar 2018 to 8 Dec 2019)
  • WFS Consulting Limited (no longer approved here)

    FRN 191531

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2026)
    • CF30 Customer (13 Apr 2018 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (21 Mar 2014 to 6 Mar 2016)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (29 Jul 2013 to 17 Dec 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (3 Jun 2010 to 29 Jul 2013)

Recent activity

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

No changes recorded yet.