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.

  • Raymond Ward

    IRN RXW00042

    • (1)CF30 Customer (20 Jul 2015 to 22 Jul 2019)
  • Rebecca Osborn

    IRN RXF00075

    • (92)[FCA CF] Functions requiring qualifications (29 Nov 2021 to 19 Sep 2022)
  • Robert James Simpson

    IRN RXS01781

    • (5)CF30 Customer (21 Jun 2016 to 4 Oct 2017)
    • (6)CF1 Director (21 Jun 2016 to 4 Oct 2017)
  • Robert John Shackleton

    IRN RXS01071

    • (71)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (72)4. Giving personal recommendations on retail investment products which are not broker funds
    • (70)[FCA CF] Functions requiring qualifications (19 Aug 2024 to 7 Apr 2026)
    • (69)[FCA CF] Client dealing (19 Aug 2024 to 7 Apr 2026)
  • Robert Wood

    IRN RSW00005

    • (142)[FCA CF] Client dealing (13 Dec 2019 to 29 Sep 2023)
    • (143)[FCA CF] Functions requiring qualifications (13 Dec 2019 to 29 Sep 2023)
  • Sara Guy

    IRN SXG12728

    • (18)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (19)4. Giving personal recommendations on retail investment products which are not broker funds
    • (16)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (17)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (15)CF30 Customer (1 Apr 2019 to 8 Dec 2019)
  • Simon John Williams

    IRN SJW01505

    • (87)[FCA CF] Functions requiring qualifications (24 Mar 2021 to 27 Oct 2023)
    • (86)[FCA CF] Client dealing (24 Mar 2021 to 27 Oct 2023)
  • Simon Philip Jones

    IRN SPJ00010

    • (63)[FCA CF] Manager of certification employee (1 Oct 2024 to 14 Aug 2025)
  • Stephanie McClarence

    IRN SLM01153

    • (183)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 3 Sep 2021)
    • (182)[FCA CF] Client dealing (12 Dec 2019 to 3 Sep 2021)
    • (181)CF30 Customer (27 Jun 2018 to 8 Dec 2019)
  • Steven Matthew Thompson

    IRN SMT01132

    • (189)SMF16 Compliance Oversight (9 Dec 2019 to 15 Mar 2025)
    • (188)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Mar 2025)
    • (191)CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • (190)CF11 Money Laundering Reporting (2 Feb 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: (141)4. Giving personal recommendations on retail investment products which are not broker funds

  2. controlled function added: (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)

  3. controlled function added: (139)[FCA CF] Functions requiring qualifications

  4. controlled function added: (138)7. Giving personal recommendations on long-term care insurance contracts

  5. controlled function added: (137)[FCA CF] Client dealing

  6. controlled function added: (136)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  7. controlled function added: (135)21. Advising or arranging (bringing about) equity release transactions

  8. controlled function added: (134)CF30 Customer

  9. controlled function added: (133)4. Giving personal recommendations on retail investment products which are not broker funds

  10. controlled function added: (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)

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