Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- (167)[FCA CF] Client dealing (12 Dec 2019 to 31 Jan 2021)
- (168)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 Jan 2021)
- (166)CF30 Customer (10 Jun 2015 to 8 Dec 2019)
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- CF21 Investment Adviser (1 Oct 2002 to 10 Oct 2002)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (166)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (167)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (168)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD