Yellowstone Advisory 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 Eligible Counterparty, Professional, Retail (Investment), Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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 Eligible Counterparty, Professional, Retail (Investment), Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Alex Schlich
IRN AXS01626
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (24 Sep 2018 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Sep 2018 to 8 Dec 2019)
- CF3 Chief Executive (1 Aug 2018 to 8 Dec 2019)
- CF30 Customer (1 Aug 2018 to 8 Dec 2019)
- CF1 Director (1 Aug 2018 to 8 Dec 2019)
Christopher Morley Stebbings
IRN CMS01074
- [FCA CF] Client dealing (since 13 May 2025)
Hannah Victoria Woodley Haxby
IRN HVW01006
- [FCA CF] Client dealing (30 Mar 2022 to 5 Jan 2026)
Matthew Anthony Wakefield
IRN MAW01135
- [FCA CF] Client dealing (since 16 Feb 2026)
Neil Warrender
IRN NRW01052
- [FCA CF] Significant management (16 Feb 2022 to 15 Jan 2024)
- [PRA CF] Key function holder (9 Dec 2019 to 16 Feb 2022)
Nichola Ann Human
IRN NAH01118
- [FCA CF] Significant management (since 15 Jan 2024)
Simon Aretas Carmichael Young
IRN SAY01006
- CF30 Customer (1 Aug 2018 to 14 Sep 2018)
- CF1 Director (1 Aug 2018 to 14 Sep 2018)
- CF10 Compliance Oversight (1 Aug 2018 to 14 Sep 2018)
- CF11 Money Laundering Reporting (1 Aug 2018 to 14 Sep 2018)

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.