Frederick James Nixon

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.

  • F J NIXON & CO LTD

    FRN 675510

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Aug 2015 to 8 Dec 2019)
    • CF1 Director (3 Aug 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Aug 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Aug 2015 to 30 Sep 2018)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (527)Employed By (3 Jan 2013 to 15 Nov 2015)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (18 Jul 2012 to 6 Dec 2012)
  • Aspire 2011 LLP (no longer approved here)

    FRN 552224

    • Employed By (18 Jul 2012 to 6 Dec 2012)

Recent activity

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

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