Simon Nicholas Griffin

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.

  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (13 May 2021 to 26 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 4 Sep 2020)
    • CF30 Customer (14 Nov 2018 to 8 Dec 2019)
  • MONEY@IFA LTD (no longer approved here)

    FRN 538662

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Jul 2023)
    • SMF3 Executive Director (9 Dec 2019 to 19 Jul 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jul 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Jul 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jul 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 19 Jul 2023)
    • CF11 Money Laundering Reporting (1 Apr 2011 to 8 Dec 2019)
    • CF1 Director (1 Apr 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2011 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2011 to 30 Sep 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 31 Mar 2011)
    • CF21 Investment Adviser (17 Jan 2006 to 31 Oct 2007)
    • CF1 Director (AR) (17 Jan 2006 to 31 Mar 2011)
  • 4 Life Financial Services Ltd (no longer approved here)

    FRN 446573

    • Employed By (17 Jan 2006 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

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