MARK BATES LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Consumer Loans
Loan Servicing
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Stephen Joseph Asher
IRN SJA01211
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (24 May 2016 to 8 Dec 2019)
- CF2 Non Executive Director (AR) (20 Aug 2014 to 18 May 2016)
Stephen Nabi
IRN SXN01187
- CF1 Director (AR) (2 Sep 2005 to 9 May 2011)
Stephen Nicholas Parker
IRN SNP01027
- CF1 Director (AR) (3 Apr 2014 to 29 Sep 2016)
Stephen Philip Warburton
IRN SPW01143
- CF1 Director (AR) (since 9 Dec 2019)
- CF1 Director (AR) (29 May 2013 to 8 Dec 2019)
Stephen Phillip Willcox
IRN SPW01161
- SMF3 (AR) Executive Director function (9 Dec 2019 to 26 Jul 2022)
- CF1 Director (AR) (18 Sep 2017 to 8 Dec 2019)
Stephen Pritchard
IRN SXP01145
- CF1 Director (AR) (since 1 Dec 2025)
Stephen Rumney
IRN SXR01642
- CF1 Director (AR) (28 Jan 2010 to 31 Jan 2013)
Stephen Sidney Howes
IRN SSH01054
- CF1 Director (AR) (20 Mar 2015 to 1 Nov 2021)
Stephen Thomas Laughlin
IRN STL01040
- CF1 Director (AR) (30 Nov 2016 to 23 Oct 2020)
Stephen William Barradell
IRN SWB01091
- CF1 Director (AR) (16 Feb 2010 to 8 Jul 2013)

Smaller firms operating under this firm's FCA authorisation.

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.