ELLIS BATES WEALTH MANAGEMENT LTD

Companies House
09052815
Last scraped
20 hours ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ellis Bates Financial Advisers
    Floor 1
    Victoria Avenue
    Harrogate
    North Yorkshire
    HG1 1JD
    UNITED KINGDOM
    Phone
    +441423520052
    Web
    https://www.ellisbates.com

  • Complaints Contact

    Shackleton
    Skerritt House 23b-23d
    Hove
    Brighton And Hove
    BN3 5AB
    UNITED KINGDOM
    Phone
    +4401273204999

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alan Cram

    IRN AEC00015

    • (177)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Feb 2025)
    • (175)[FCA CF] Client dealing (12 Dec 2019 to 7 Feb 2025)
    • (173)SMF3 Executive Director (9 Dec 2019 to 1 Nov 2024)
    • (176)CF1 Director (23 Oct 2019 to 8 Dec 2019)
    • (174)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Alison Jane Harrison

    IRN AJH01479

    • (7)CF30 Customer (18 Apr 2016 to 4 Oct 2017)
  • Amanda Glen

    IRN AXG00972

    • (60)[FCA CF] Significant management (1 Oct 2024 to 14 Aug 2025)
  • Amy Burge

    IRN AXB00594

    • (95)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (96)4. Giving personal recommendations on retail investment products which are not broker funds
    • (93)[FCA CF] Client dealing (26 Nov 2021 to 7 Apr 2026)
    • (94)[FCA CF] Functions requiring qualifications (26 Nov 2021 to 7 Apr 2026)
  • Andrew Barron

    IRN AXB02847

    • (184)CF30 Customer (18 Jun 2015 to 24 Apr 2016)
  • Andrew James Conally

    IRN AJC01613

    • (73)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (76)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (77)4. Giving personal recommendations on retail investment products which are not broker funds
    • (74)[FCA CF] Client dealing (12 Feb 2024 to 7 Apr 2026)
    • (75)[FCA CF] Functions requiring qualifications (12 Feb 2024 to 7 Apr 2026)
  • Andy King

    IRN IAK01020

    • (42)4. Giving personal recommendations on retail investment products which are not broker funds
    • (41)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (40)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (39)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (38)CF30 Customer (25 Jun 2018 to 8 Dec 2019)
  • Anthony Neil Curley

    IRN ANC00003

    • (62)[FCA CF] Manager of certification employee (1 Oct 2024 to 14 Aug 2025)
  • Ben Clapham

    IRN BSC01034

    • (105)4. Giving personal recommendations on retail investment products which are not broker funds
    • (103)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (101)[FCA CF] Manager of certification employee (1 Oct 2024 to 7 Apr 2026)
    • (104)[FCA CF] Significant management (1 Oct 2024 to 7 Apr 2026)
    • (100)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (102)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (99)CF30 Customer (6 Oct 2017 to 8 Dec 2019)
  • Carl Hasty

    IRN CXH14936

    • (14)4. Giving personal recommendations on retail investment products which are not broker funds
    • (13)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (11)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (12)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (10)CF30 Customer (17 May 2019 to 8 Dec 2019)
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Recent activity

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

  1. controlled function added: (111)4. Giving personal recommendations on retail investment products which are not broker funds

  2. controlled function added: (110)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  3. controlled function added: (109)7. Giving personal recommendations on long-term care insurance contracts

  4. controlled function added: (108)[FCA CF] Functions requiring qualifications

  5. controlled function added: (107)[FCA CF] Client dealing

  6. controlled function added: (106)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  7. controlled function added: (105)4. Giving personal recommendations on retail investment products which are not broker funds

  8. controlled function added: (104)[FCA CF] Significant management

  9. controlled function added: (103)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  10. controlled function added: (102)[FCA CF] Functions requiring qualifications

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