Gary Kenneth Bates

Last updated
6 days ago
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Where they hold approval

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

  • Bates Independent Limited

    FRN 944080

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Responsibility for MCD Intermediation (since 12 Aug 2021)
    • Responsible for Insurance Distribution (since 12 Aug 2021)
    • SMF3 Executive Director (since 12 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Aug 2021)
    • SMF16 Compliance Oversight (since 12 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 Aug 2021)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (18 Feb 2014 to 11 Aug 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 10 Mar 2014)
    • CF21 Investment Adviser (26 Sep 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Jun 2005 to 26 Sep 2005)

Recent activity

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

No changes recorded yet.