Christopher John Bates

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Collaborative Wealth Limited

    FRN 921581

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Oct 2020)
    • [FCA CF] Client dealing (since 9 Oct 2020)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Jan 2021)
    • CF30 Customer (2 Jan 2013 to 4 Jan 2021)
  • Co-operative Independent Financial Solutions Ltd (no longer approved here)

    FRN 581589

    • Employed By (2 Jan 2013 to 4 Jan 2021)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (18 Jun 2012 to 30 Nov 2012)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (27 Sep 2011 to 8 Jun 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 28 Oct 2011)
    • CF21 Investment Adviser (18 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jun 2005 to 18 Oct 2007)

Recent activity

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

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