Simon Philip Yates

Watch for changes

Where they hold approval

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

Libertas Wealth Management Ltd
FRN 684341
- 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)
- CF30 Customer (since 7 Jan 2025)
- CF1 Director (AR) (since 7 Jan 2025)
- Appointed representative dealing with clients for which they require qualification (since 13 May 2021)
- CF1 Director (AR) (28 Jan 2022 to 22 Oct 2024)
- CF30 Customer (28 Jan 2022 to 22 Oct 2024)
- [FCA CF] Functions requiring qualifications (13 May 2021 to 1 Nov 2022)
- [FCA CF] Client dealing (13 May 2021 to 1 Nov 2022)
Quilter Financial Limited (no longer approved here)
FRN 497604
- CF1 Director (AR) (18 Oct 2024 to 15 Nov 2024)
- CF30 Customer (18 Oct 2024 to 15 Nov 2024)
Yates & Co (no longer approved here)
FRN 171185
- Employed By (19 Nov 2003 to 29 Dec 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.