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.

  • George Isherwood

    IRN GXI00035

    • (80)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (81)4. Giving personal recommendations on retail investment products which are not broker funds
    • (79)[FCA CF] Functions requiring qualifications (9 Jan 2024 to 7 Apr 2026)
    • (78)[FCA CF] Client dealing (9 Jan 2024 to 7 Apr 2026)
  • Gillian McGuire

    IRN GXL01546

    • (178)CF30 Customer (1 Oct 2017 to 11 Oct 2019)
  • Grant Thomas Hotson

    IRN GTH01036

    • (180)SMF3 Executive Director (12 Mar 2025 to 7 Apr 2026)
  • Hannah Jones

    IRN HJR01051

    • (37)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 30 Nov 2023)
    • (36)[FCA CF] Client dealing (12 Dec 2019 to 30 Nov 2023)
    • (35)CF30 Customer (5 Jul 2018 to 8 Dec 2019)
  • Howard Philip Barnes

    IRN HPB01030

    • (195)Responsible for Insurance Distribution (16 Dec 2025 to 7 Apr 2026)
    • (197)SMF16 Compliance Oversight (5 Jun 2025 to 7 Apr 2026)
    • (194)Responsibility for MCD Intermediation (5 Jun 2025 to 7 Apr 2026)
    • (196)SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2025 to 7 Apr 2026)
    • (198)SMF3 Executive Director (5 Jun 2025 to 7 Apr 2026)
  • Ian Barker

    IRN IPB00002

    • (167)[FCA CF] Client dealing (12 Dec 2019 to 31 Jan 2021)
    • (168)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 Jan 2021)
    • (166)CF30 Customer (10 Jun 2015 to 8 Dec 2019)
  • James Johnson

    IRN JXJ01409

    • (43)CF30 Customer (29 May 2018 to 15 Nov 2019)
  • Jamie Robert Alderson

    IRN JXA00260

    • (187)SMF3 Executive Director (28 Jul 2021 to 1 Nov 2024)
  • Jess Bates

    IRN JXB03901

    • (53)[FCA CF] Manager of certification employee (1 Oct 2024 to 14 Aug 2025)
  • Jim McHugh

    IRN JJM00008

    • (152)[FCA CF] Client dealing (12 Dec 2019 to 29 Feb 2024)
    • (153)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 29 Feb 2024)
    • (151)CF30 Customer (22 May 2015 to 8 Dec 2019)
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Recent activity

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

  1. controlled function added: (151)CF30 Customer

  2. controlled function added: (150)4. Giving personal recommendations on retail investment products which are not broker funds

  3. controlled function added: (149)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  4. controlled function added: (148)[FCA CF] Functions requiring qualifications

  5. controlled function added: (147)[FCA CF] Client dealing

  6. controlled function added: (146)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  7. controlled function added: (145)21. Advising or arranging (bringing about) equity release transactions

  8. controlled function added: (144)CF30 Customer

  9. controlled function added: (143)[FCA CF] Functions requiring qualifications

  10. controlled function added: (142)[FCA CF] Client dealing

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