Clive Elms

Last updated
3 weeks ago
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Where they hold approval

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

  • GATE CAPITAL GROUP LTD.

    FRN 189170

    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Aug 2022)
    • [FCA CF] Material risk taker (1 Aug 2022 to 15 Nov 2022)
    • [FCA CF] Functions requiring qualifications (1 Aug 2022 to 15 Nov 2022)
  • ITI Capital Limited (no longer approved here)

    FRN 171487

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2022)
    • CF30 Customer (1 Nov 2007 to 16 Aug 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Stratos Markets Limited (no longer approved here)

    FRN 217689

    • CF30 Customer (19 Oct 2012 to 25 Jan 2016)

Recent activity

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

No changes recorded yet.