Simon Philip Bray

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Responsible Wealth Ltd

    FRN 947126

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 1 Nov 2021)
    • Responsible for Insurance Distribution (since 1 Nov 2021)
    • SMF16 Compliance Oversight (since 1 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2021)
    • SMF3 Executive Director (since 1 Nov 2021)
    • [FCA CF] Client dealing (since 1 Nov 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Oct 2021)
    • CF1 Director (AR) (17 Jan 2014 to 29 Oct 2021)
    • CF30 Customer (17 Apr 2012 to 29 Oct 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 27 Apr 2012)
    • CF22 Investment Adviser (Trainee) (20 Aug 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.