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.

  • Carol Angela Lammy-Steele

    IRN CAS00030

    • (29)[FCA CF] Client dealing (12 Dec 2019 to 27 Oct 2023)
    • (30)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 27 Oct 2023)
    • (28)CF30 Customer (5 Nov 2018 to 8 Dec 2019)
  • Christopher Michael Roberts

    IRN CMR00018

    • (193)SMF3 Executive Director (1 Sep 2025 to 7 Apr 2026)
  • Colin Vickers

    IRN CXV01081

    • (192)CF1 Director (2 Feb 2015 to 2 Jun 2016)
  • Colin Welsh

    IRN CJW01191

    • (106)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (109)7. Giving personal recommendations on long-term care insurance contracts
    • (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)
    • (111)4. Giving personal recommendations on retail investment products which are not broker funds
    • (107)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (108)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
  • Dawn Tracey Elkington Smith

    IRN DTE00003

    • (127)21. Advising or arranging (bringing about) equity release transactions
    • (128)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (130)7. Giving personal recommendations on long-term care insurance contracts
    • (132)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (133)4. Giving personal recommendations on retail investment products which are not broker funds
    • (129)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (131)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (126)CF30 Customer (30 Jul 2015 to 8 Dec 2019)
  • Dax Bayley

    IRN DDB01031

    • (33)[FCA CF] Manager of certification employee (1 Oct 2024 to 19 Dec 2024)
    • (32)[FCA CF] Client dealing (12 Dec 2019 to 19 Dec 2024)
    • (34)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 19 Dec 2024)
    • (31)CF30 Customer (10 Aug 2018 to 8 Dec 2019)
  • Deborah Mary Anne Cargo

    IRN DME00022

    • (83)[FCA CF] Functions requiring qualifications (22 Aug 2022 to 27 Oct 2023)
    • (82)[FCA CF] Client dealing (22 Aug 2022 to 27 Oct 2023)
  • Elizabeth Clare Mills

    IRN ECM01029

    • (185)SMF3 Executive Director (9 Dec 2019 to 1 Oct 2025)
    • (186)CF1 Director (22 Mar 2018 to 8 Dec 2019)
  • Gary Davies

    IRN GJD00014

    • (23)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (24)4. Giving personal recommendations on retail investment products which are not broker funds
    • (21)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (22)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (20)CF30 Customer (7 Jan 2019 to 8 Dec 2019)
  • Gary Michael Leftley

    IRN GML00008

    • (91)4. Giving personal recommendations on retail investment products which are not broker funds
    • (90)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (88)[FCA CF] Client dealing (30 Aug 2022 to 7 Apr 2026)
    • (89)[FCA CF] Functions requiring qualifications (30 Aug 2022 to 7 Apr 2026)
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Recent activity

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

  1. controlled function added: (91)4. Giving personal recommendations on retail investment products which are not broker funds

  2. controlled function added: (90)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: (89)[FCA CF] Functions requiring qualifications

  4. controlled function added: (88)[FCA CF] Client dealing

  5. controlled function added: (87)[FCA CF] Functions requiring qualifications

  6. controlled function added: (86)[FCA CF] Client dealing

  7. controlled function added: (85)[FCA CF] Functions requiring qualifications

  8. controlled function added: (84)[FCA CF] Client dealing

  9. controlled function added: (83)[FCA CF] Functions requiring qualifications

  10. controlled function added: (82)[FCA CF] Client dealing

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