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.

  • Michael Jack Andresco

    IRN MJA01187

    • (3)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Mike Gent

    IRN MJG00060

    • (161)[FCA CF] Client dealing (12 Dec 2019 to 21 Apr 2023)
    • (162)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 21 Apr 2023)
    • (160)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Neil Brining

    IRN NAB00005

    • (164)[FCA CF] Client dealing (12 Dec 2019 to 31 May 2023)
    • (165)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 May 2023)
    • (163)CF30 Customer (21 Jul 2015 to 8 Dec 2019)
  • Nicholas Charles Ashwell

    IRN NCA01027

    • (169)[FCA CF] Client dealing (19 Apr 2022 to 27 Oct 2023)
    • (170)[FCA CF] Functions requiring qualifications (19 Apr 2022 to 27 Oct 2023)
  • Nicola Matheson

    IRN NJH00023

    • (125)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 8 Jan 2024)
    • (124)[FCA CF] Client dealing (12 Dec 2019 to 8 Jan 2024)
    • (123)CF30 Customer (22 Feb 2016 to 8 Dec 2019)
  • Nigel Swan

    IRN NXS01464

    • (117)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (121)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (116)21. Advising or arranging (bringing about) equity release transactions
    • (122)4. Giving personal recommendations on retail investment products which are not broker funds
    • (119)[FCA CF] Manager of certification employee (1 Oct 2024 to 7 Apr 2026)
    • (118)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (120)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (115)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Nikki Pringle

    IRN NXP00389

    • (52)[FCA CF] Significant management (1 Oct 2024 to 14 Aug 2025)
  • Noreen Ann Walker

    IRN NAW00016

    • (4)CF30 Customer (22 May 2015 to 2 Jun 2016)
  • Paul Ian Crapper

    IRN PIC00003

    • (2)CF30 Customer (2 Feb 2015 to 2 Nov 2015)
  • Paul William Feeney

    IRN PWF01007

    • (179)SMF1 Chief Executive (26 Mar 2025 to 7 Apr 2026)
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Recent activity

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

  1. requirement removed: OR-0086048

  2. requirement removed: OR-0200584

  3. requirement removed: OR-0250592

  4. controlled function added: (198)SMF3 Executive Director

  5. controlled function added: (197)SMF16 Compliance Oversight

  6. controlled function added: (196)SMF17 Money Laundering Reporting Officer (MLRO)

  7. controlled function added: (195)Responsible for Insurance Distribution

  8. controlled function added: (194)Responsibility for MCD Intermediation

  9. controlled function added: (193)SMF3 Executive Director

  10. controlled function added: (192)CF1 Director

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