John Martin Ham

Last updated
3 weeks ago
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Where they hold approval

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

  • Nailsea Financial Services Limited

    FRN 212754

    • 10. Broker fund adviser
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (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] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 May 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2021)
    • CF30 Customer (1 Nov 2007 to 3 Jan 2013)
    • CF1 Director (24 Jan 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (24 Jan 2003 to 31 Mar 2009)
    • CF3 Chief Executive (24 Jan 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)

Recent activity

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

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