Kim Bath

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 14 Dec 2023)
    • [FCA CF] Client dealing (since 14 Dec 2023)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (26)[FCA CF] Client dealing (12 Dec 2019 to 22 Aug 2023)
    • (27)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 22 Aug 2023)
    • (25)CF30 Customer (5 Nov 2018 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (5 Jan 2018 to 26 Oct 2018)
  • Whitelock Financial Planning Ltd (no longer approved here)

    FRN 581607

    • Employed By (5 Jan 2018 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (17 Apr 2015 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 28 Feb 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (18 Feb 2002 to 1 Aug 2003)
    • CF22 Investment Adviser (Trainee) (18 Feb 2002 to 18 Feb 2002)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF22 Investment Adviser (Trainee) (1 Feb 2002 to 30 Aug 2002)

Recent activity

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

  1. controlled function added: (25)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (26)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function added: (27)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD