Simon Richards

Last updated
2 weeks ago
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Where they hold approval

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

  • HW Financial Services Limited

    FRN 134190

    • 11. Pension transfer specialist
    • 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)
    • [FCA CF] Functions requiring qualifications (since 2 Sep 2022)
    • [FCA CF] Client dealing (since 2 Sep 2022)
    • [FCA CF] Functions requiring qualifications (3 Feb 2020 to 14 Oct 2021)
    • [FCA CF] Client dealing (3 Feb 2020 to 14 Oct 2021)
  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 11. Pension transfer specialist
    • 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)
    • [FCA CF] Functions requiring qualifications (since 2 Sep 2022)
    • [FCA CF] Client dealing (since 2 Sep 2022)
    • [FCA CF] Client dealing (3 Feb 2020 to 14 Oct 2021)
    • [FCA CF] Functions requiring qualifications (3 Feb 2020 to 14 Oct 2021)
  • FRANCIS CLARK FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 433591

    • [FCA CF] Client dealing (18 Oct 2021 to 29 Jul 2022)
    • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 29 Jul 2022)

Recent activity

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

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