Simon Nicholas Monk

Last updated
3 weeks ago
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Where they hold approval

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

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 21 Jan 2021)
    • [FCA CF] Client dealing (since 19 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 10 Jan 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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