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.

  • Stuart Matheson

    IRN SXM00004

    • (155)[FCA CF] Client dealing (12 Dec 2019 to 31 Jul 2024)
    • (156)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 Jul 2024)
    • (154)CF30 Customer (30 Nov 2015 to 8 Dec 2019)
  • Thomas Peter Garsed-Bennet

    IRN TPG01018

    • (114)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 16 Jan 2025)
    • (113)[FCA CF] Client dealing (12 Dec 2019 to 16 Jan 2025)
    • (112)CF30 Customer (21 Nov 2017 to 8 Dec 2019)
  • Tom Smallwood

    IRN TXS03698

    • (172)[FCA CF] Functions requiring qualifications (1 Jul 2021 to 4 Apr 2022)
    • (171)[FCA CF] Client dealing (1 Jul 2021 to 4 Apr 2022)
  • Trevor Shelley

    IRN TJS00005

    • (145)21. Advising or arranging (bringing about) equity release transactions
    • (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)
    • (150)4. Giving personal recommendations on retail investment products which are not broker funds
    • (146)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (147)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (148)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (144)CF30 Customer (15 Apr 2015 to 8 Dec 2019)
  • Warwick John Alexander Heap

    IRN WJH01053

    • (8)CF30 Customer (22 Feb 2016 to 23 Aug 2018)

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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