Simon William McCrudden

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.

  • JP Maxwell Financial Management Ltd

    FRN 782133

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 19 Sep 2017)
    • CF30 Customer (since 11 Sep 2017)
    • Responsibility for MCD Intermediation (since 11 Sep 2017)
    • CF10 Compliance Oversight (11 Sep 2017 to 8 Dec 2019)
    • CF1 Director (11 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Sep 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Sep 2017 to 30 Sep 2018)
  • JP Maxwell Wealth Management Ltd

    FRN 788774

    • (1)Employed By (since 19 Sep 2017)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (4 Apr 2011 to 30 Jun 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 14 Aug 2002)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 15 Aug 2008)
    • CF21 Investment Adviser (24 Apr 2003 to 22 Aug 2003)
    • CF22 Investment Adviser (Trainee) (30 May 2002 to 24 Apr 2003)

Recent activity

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