James Ellis Nichols

Last updated
2 weeks ago
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Where they hold approval

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

  • Moelis & Company UK LLP

    FRN 516801

    • [FCA CF] Client dealing (since 6 Jul 2022)
  • Daiwa Corporate Advisory Limited (no longer approved here)

    FRN 175853

    • [FCA CF] Client dealing (9 Dec 2019 to 11 Feb 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Feb 2022)
    • CF30 Customer (19 Mar 2012 to 8 Dec 2019)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (2 Sep 2010 to 21 Nov 2011)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF30 Customer (1 Nov 2007 to 15 Jan 2010)
    • CF22 Investment Adviser (Trainee) (3 Sep 2007 to 31 Oct 2007)

Recent activity

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

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