Simon Pirie

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.

  • FINANCIAL OPTIONS N. E. LIMITED

    FRN 928946

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2021)
    • SMF3 Executive Director (since 4 Jan 2021)
    • [FCA CF] Client dealing (since 4 Jan 2021)
    • Responsibility for MCD Intermediation (since 4 Jan 2021)
    • Responsible for Insurance Distribution (since 4 Jan 2021)
    • SMF16 Compliance Oversight (since 4 Jan 2021)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (28 Dec 2011 to 31 Dec 2020)
    • CF1 Director (AR) (28 Dec 2011 to 31 Dec 2020)
  • Financial Options (N. E.) Limited (no longer approved here)

    FRN 219690

    • (10)Employed By (11 Oct 2003 to 31 Dec 2020)

Recent activity

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

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