Tristram Peter Simmonds

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.

  • Sigma Broking Limited

    FRN 485362

    • SMF1 Chief Executive (since 26 Mar 2026)
    • SMF3 Executive Director (since 26 Mar 2026)
  • Braemar Securities Limited (no longer approved here)

    FRN 583277

    • [FCA CF] Client dealing (9 Dec 2019 to 7 Mar 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Nov 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2025)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2013 to 8 Dec 2019)

Recent activity

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

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