Simon Thompson

Watch for changes

Where they hold approval

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

OPTIMUM COMMERCIAL SOLUTIONS LTD
FRN 808754
- CF1 Director (AR) (since 13 Sep 2023)
Grosvenor Capital Brokers Limited
FRN 1001133
- (1)Employed By (since 13 Sep 2023)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (30 Apr 2008 to 18 Mar 2010)
Verso Wealth Management Limited (no longer approved here)
FRN 153871
- CF21 Investment Adviser (1 Sep 2003 to 30 Apr 2004)
WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 134753
- CF21 Investment Adviser (3 Jun 2003 to 29 Aug 2003)
- CF22 Investment Adviser (Trainee) (4 Feb 2003 to 3 Jun 2003)
Simon Thompson (no longer approved here)
FRN 215100
- (1)Employed By (18 Jul 2002 to 24 Mar 2003)
RBS Collective Investment Funds Limited (no longer approved here)
FRN 122139
- CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)

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.