Simon Turner

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.

  • SUTTON MCGRATH HARTLEY (FINANCIAL SERVICES) LLP

    FRN 740490

    • 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 30 Nov 2020)
    • [FCA CF] Client dealing (since 30 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (30 Nov 2020 to 17 Feb 2025)
    • SMF27 Partner (9 Dec 2019 to 12 Nov 2020)
    • Responsible for Insurance Mediation (1 Sep 2016 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Sep 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (20 Aug 2015 to 29 Sep 2016)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (20 Nov 2014 to 29 Sep 2016)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (11 Nov 2014 to 24 Aug 2015)
  • Grant Thornton UK LLP (no longer approved here)

    FRN 231791

    • CF30 Customer (1 Nov 2007 to 21 Jul 2014)
    • CF26 Customer Trading (21 Nov 2005 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (21 Nov 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Feb 2005 to 21 Nov 2005)
  • BFS Wealth and Protection Ltd (no longer approved here)

    FRN 125891

    • CF21 Investment Adviser (4 Mar 2002 to 15 Feb 2005)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 15 Feb 2005)
  • Northchurch Financial Services Ltd (no longer approved here)

    FRN 208794

    • Employed By (1 Dec 2001 to 15 Feb 2005)

Recent activity

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

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