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.

  • Joanne Elizabeth Fisher

    IRN JEM00021

    • (9)CF30 Customer (22 May 2015 to 23 May 2018)
  • Kim Bath

    IRN KSB01023

    • (26)[FCA CF] Client dealing (12 Dec 2019 to 22 Aug 2023)
    • (27)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 22 Aug 2023)
    • (25)CF30 Customer (5 Nov 2018 to 8 Dec 2019)
  • Kim Holding

    IRN KSH01045

    • (98)[FCA CF] Functions requiring qualifications (15 Nov 2021 to 1 Nov 2024)
    • (97)[FCA CF] Client dealing (15 Nov 2021 to 9 Jan 2025)
  • Lee Anthony De Redder

    IRN LXD00386

    • (64)21. Advising or arranging (bringing about) equity release transactions
    • (67)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (68)4. Giving personal recommendations on retail investment products which are not broker funds
    • (65)[FCA CF] Client dealing (29 Aug 2024 to 7 Apr 2026)
    • (66)[FCA CF] Functions requiring qualifications (29 Aug 2024 to 7 Apr 2026)
  • Margery Gledson

    IRN MEG00005

    • (158)[FCA CF] Client dealing (12 Dec 2019 to 30 Aug 2024)
    • (159)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 30 Aug 2024)
    • (157)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Mark Chandler

    IRN MXC01963

    • (141)4. Giving personal recommendations on retail investment products which are not broker funds
    • (140)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (138)7. Giving personal recommendations on long-term care insurance contracts
    • (136)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (135)21. Advising or arranging (bringing about) equity release transactions
    • (137)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (139)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (134)CF30 Customer (21 May 2015 to 8 Dec 2019)
  • Mark Richard Addinall

    IRN MXA00136

    • (61)[FCA CF] Manager of certification employee (1 Oct 2024 to 8 Aug 2025)
  • Matthew Hawksworth

    IRN MJH01703

    • (58)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (59)4. Giving personal recommendations on retail investment products which are not broker funds
    • (56)[FCA CF] Manager of certification employee (1 Oct 2024 to 7 Apr 2026)
    • (55)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (57)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (54)CF30 Customer (20 Dec 2017 to 8 Dec 2019)
  • Matthew Stirling

    IRN MXS04914

    • (85)[FCA CF] Functions requiring qualifications (24 Mar 2021 to 16 Aug 2024)
    • (84)[FCA CF] Client dealing (24 Mar 2021 to 16 Aug 2024)
  • Michael Cope

    IRN MCC01121

    • (49)[FCA CF] Client dealing (12 Dec 2019 to 31 Jan 2026)
    • (51)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 Jan 2026)
    • (47)SMF3 Executive Director (9 Dec 2019 to 1 Dec 2025)
    • (45)Responsible for Insurance Distribution (1 Oct 2018 to 1 Dec 2025)
    • (44)Responsibility for MCD Intermediation (16 May 2018 to 5 Jun 2025)
    • (50)CF1 Director (2 Feb 2015 to 8 Dec 2019)
    • (48)CF30 Customer (2 Feb 2015 to 8 Dec 2019)
    • (46)Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
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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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