Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF3 Executive Director (20 Mar 2023 to 12 Sep 2024)
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- SMF3 Executive Director (11 Jan 2023 to 12 Sep 2024)
- SMF2 Chief Finance (11 Jan 2023 to 12 Sep 2024)
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- SMF3 Executive Director (22 Oct 2021 to 31 Dec 2022)
- SMF2 Chief Finance (22 Oct 2021 to 31 Dec 2022)
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- SMF2 Chief Finance (22 Oct 2021 to 31 Dec 2022)
- SMF3 Executive Director (22 Oct 2021 to 31 Dec 2022)
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- SMF2 Chief Finance (9 Dec 2019 to 30 Sep 2020)
- CF28 Systems and controls (12 Aug 2016 to 8 Dec 2019)
- CF1 Director (12 Aug 2016 to 11 Mar 2019)
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- SMF2 Chief Finance (9 Dec 2019 to 30 Sep 2020)
- SMF3 Executive Director (9 Dec 2019 to 30 Sep 2020)
- CF1 Director (12 Aug 2016 to 8 Dec 2019)
- CF28 Systems and controls (12 Aug 2016 to 8 Dec 2019)
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- SMF3 Executive Director (9 Dec 2019 to 30 Sep 2020)
- SMF2 Chief Finance (9 Dec 2019 to 30 Sep 2020)
- CF1 Director (12 Aug 2016 to 8 Dec 2019)
- CF28 Systems and controls (12 Aug 2016 to 8 Dec 2019)
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- SMF2 Chief Finance (9 Dec 2019 to 30 Sep 2020)
- SMF27 Partner (9 Dec 2019 to 30 Sep 2020)
- CF28 Systems and controls (12 Aug 2016 to 8 Dec 2019)
- CF4 Partner (12 Aug 2016 to 8 Dec 2019)
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- SMF2 Chief Finance (12 Aug 2016 to 30 Sep 2020)
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- CF4 Partner (19 May 2014 to 30 Sep 2014)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: SMF3 Executive Director at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (180)SMF3 Executive Director at ELLIS BATES WEALTH MANAGEMENT LTD