Simon Wardley

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.

  • Simon Wardley

    FRN 172253

    • (1)Employed By (since 21 Feb 2024)
    • (2)Employed By (1 Dec 2001 to 21 Feb 2024)
  • 2 Plan Wealth Management Limited

    FRN 461598

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • Appointed representative dealing with clients for which they require qualification (since 6 Feb 2024)
    • CF30 Customer (since 28 Dec 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 21 Feb 2024)
    • CF30 Customer (1 Nov 2007 to 21 Feb 2024)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

  1. controlled function removed: Employed By at Simon Wardley

  2. controlled function added: (2)Employed By at Simon Wardley

  3. controlled function added: (1)Employed By at Simon Wardley