Simon Li

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.

  • Rosemount Financial Solutions (IFA) Limited

    FRN 535515

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 4 Oct 2021)
    • CF30 Customer (since 17 Sep 2021)
    • [FCA CF] Client dealing (since 7 Jun 2021)
  • Simon Li

    FRN 841779

    • (1)Employed By (since 17 Sep 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 Oct 2021)
    • CF30 Customer (22 Sep 2008 to 11 Oct 2021)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (85)Employed By (22 Sep 2008 to 18 Oct 2021)

Recent activity

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

No changes recorded yet.