Colin Welsh

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.

  • Shackleton Advisers Limited

    FRN 163291

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD

    FRN 631117

    • (111)4. Giving personal recommendations on retail investment products which are not broker funds
    • (109)7. Giving personal recommendations on long-term care insurance contracts
    • (110)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (106)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (108)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (107)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • CF30 Customer (11 Jul 2016 to 28 Oct 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (22 Mar 2012 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (18 Jul 2011 to 24 Feb 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 2 May 2011)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (31 Jan 2003 to 16 Jun 2004)

Recent activity

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

  1. controlled function removed: [FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function removed: 7. Giving personal recommendations on long-term care insurance contracts at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at ELLIS BATES WEALTH MANAGEMENT LTD

  5. controlled function removed: [FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  6. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD

  7. controlled function added: (106)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at ELLIS BATES WEALTH MANAGEMENT LTD

  8. controlled function added: (107)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  9. controlled function added: (108)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  10. controlled function added: (109)7. Giving personal recommendations on long-term care insurance contracts at ELLIS BATES WEALTH MANAGEMENT LTD

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