Simon Peter Lake

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.

  • Azets Wealth Management Limited

    FRN 449016

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2025)
    • [FCA CF] Client dealing (since 24 Nov 2025)
  • Evans Falco LLP (no longer approved here)

    FRN 527253

    • [FCA CF] Functions requiring qualifications (4 Nov 2024 to 27 Nov 2025)
    • [FCA CF] Client dealing (4 Nov 2024 to 27 Nov 2025)
  • ADVANTA WEALTH (SOUTH WEST) LTD (no longer approved here)

    FRN 677869

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
    • CF30 Customer (1 Aug 2017 to 8 Dec 2019)
  • Mark Holt & Co Wealth Management Ltd (no longer approved here)

    FRN 209691

    • (1)Employed By (16 Apr 2012 to 28 Jul 2017)
  • SOUND FINANCIAL MANAGEMENT LIMITED (no longer approved here)

    FRN 192052

    • CF30 Customer (1 Nov 2007 to 28 Jul 2017)
    • CF21 Investment Adviser (15 Sep 2005 to 31 Oct 2007)

Recent activity

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

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