Gary Davies

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

    • 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] Client dealing (since 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD

    FRN 631117

    • (23)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (24)4. Giving personal recommendations on retail investment products which are not broker funds
    • (21)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (22)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (20)CF30 Customer (7 Jan 2019 to 8 Dec 2019)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (31 May 2011 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 30 May 2011)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

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

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

  3. controlled function removed: [FCA CF] Client dealing 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 added: (20)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  6. controlled function added: (21)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  7. controlled function added: (22)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  8. controlled function added: (23)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

  9. controlled function added: (24)4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD