Simon Trayton Phelps

Watch for changes

Where they hold approval

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

Webull Securities (UK) Ltd (no longer approved here)
FRN 961286
- SMF16 Compliance Oversight (25 Oct 2022 to 14 Mar 2023)
- SMF3 Executive Director (25 Oct 2022 to 14 Mar 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (25 Oct 2022 to 14 Mar 2023)
Robinhood U.K. Ltd (no longer approved here)
FRN 823590
- SMF16 Compliance Oversight (9 Dec 2019 to 17 Jun 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Jun 2020)
- SMF3 Executive Director (9 Dec 2019 to 19 Jun 2020)
- CF1 Director (7 Aug 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (7 Aug 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (7 Aug 2019 to 8 Dec 2019)
CHARLES SCHWAB, U.K., LIMITED (no longer approved here)
FRN 225116
- CF11 Money Laundering Reporting (1 Feb 2016 to 13 Jun 2018)
- CF10 Compliance Oversight (1 Feb 2016 to 13 Jun 2018)

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.