Jarrod Matthew Ellis

Last updated
1 week ago
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Where they hold approval

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

  • Saltus Financial Planning Limited

    FRN 722703

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Oct 2025)
    • [FCA CF] Client dealing (since 6 Oct 2025)
  • Delta Financial Management Limited

    FRN 138197

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 11. Pension transfer specialist
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • SMF16 Compliance Oversight (12 Mar 2021 to 3 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (12 Mar 2021 to 3 Jan 2024)
    • CF1 Director (8 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (29 Aug 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (13 Aug 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 Aug 2003)

Recent activity

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

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