Simon Timothy Glazier

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.

  • Stewardship Wealth Limited

    FRN 794403

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 29 Jun 2020)
    • [FCA CF] Client dealing (since 29 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (29 Mar 2018 to 8 Dec 2019)
    • CF1 Director (29 Mar 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 Mar 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (29 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (29 Mar 2018 to 8 Dec 2019)
  • AAB Wealth Limited (no longer approved here)

    FRN 608548

    • Responsible for Insurance Mediation (13 Jan 2016 to 23 Mar 2018)
    • CF11 Money Laundering Reporting (8 Dec 2015 to 23 Mar 2018)
    • CF1 Director (8 Dec 2015 to 23 Mar 2018)
    • CF10 Compliance Oversight (8 Dec 2015 to 23 Mar 2018)
    • CF30 Customer (1 Apr 2014 to 23 Mar 2018)
  • Verus Financial Planning Limited (no longer approved here)

    FRN 525771

    • CF30 Customer (22 Aug 2011 to 31 Mar 2014)
  • Anderson Anderson & Brown Wealth Limited (no longer approved here)

    FRN 537571

    • Employed By (22 Aug 2011 to 31 Mar 2014)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (25 Sep 2009 to 9 Apr 2011)
    • CF30 Customer (1 Nov 2007 to 9 Apr 2011)
    • CF7 Sole Trader (AR) (23 Nov 2006 to 31 Jan 2007)
    • CF21 Investment Adviser (27 Jun 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 27 Jun 2005)
  • Advanced Financial Planning Scotland Limited (no longer approved here)

    FRN 460050

    • (7)Employed By (23 Nov 2006 to 9 Apr 2011)
  • The Jim Smith Financial Practice (no longer approved here)

    FRN 211390

    • Employed By (21 Jun 2004 to 8 Dec 2019)

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

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