Dawn Tracey Elkington Smith

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Shackleton Advisers Limited

    FRN 163291

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
    • [FCA CF] Client dealing (since 4 Apr 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD

    FRN 631117

    • (128)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (130)7. Giving personal recommendations on long-term care insurance contracts
    • (132)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (133)4. Giving personal recommendations on retail investment products which are not broker funds
    • (127)21. Advising or arranging (bringing about) equity release transactions
    • (129)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (131)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (126)CF30 Customer (30 Jul 2015 to 8 Dec 2019)
  • Finli (G&P) Ltd (no longer approved here)

    FRN 142752

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jul 2003)

Recent activity

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

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

  4. controlled function removed: 21. Advising or arranging (bringing about) equity release transactions at ELLIS BATES WEALTH MANAGEMENT LTD

  5. controlled function removed: 7. Giving personal recommendations on long-term care insurance contracts 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 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

  8. controlled function added: (126)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  9. controlled function added: (127)21. Advising or arranging (bringing about) equity release transactions at ELLIS BATES WEALTH MANAGEMENT LTD

  10. controlled function added: (128)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at ELLIS BATES WEALTH MANAGEMENT LTD

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